4//SEC Filing
RESPONSE GENETICS INC 4
Accession 0001144204-07-031450
CIK 0001124608operating
Filed
Jun 11, 8:00 PM ET
Accepted
Jun 12, 4:36 PM ET
Size
26.3 KB
Accession
0001144204-07-031450
Insider Transaction Report
Form 4
Serruya Samuel
10% Owner
Transactions
- Conversion
Common Stock
2007-06-08+1,840→ 1,840 total(indirect: See footnote 3) - Conversion
Common Stock
2007-06-08+603,907→ 828,899 total - Conversion
Common Stock
2007-06-08$7.00/sh+35,433$248,031→ 864,332 total - Conversion
Series B Convertible Preferred Stock
2007-06-08−1,840→ 0 total(indirect: See footnote 3)Exercise: $0.00From: 2007-06-08Exp: 2007-06-08→ Common Stock (1,840 underlying) - Other
Common Stock
2007-06-08+2,099→ 3,939 total(indirect: See foonote 3) - Conversion
Series A Junior Convertible Preferred Stock
2007-06-08−603,907→ 0 totalExercise: $0.00From: 2007-06-08Exp: 2007-06-08→ Common Stock (603,907 underlying) - Conversion
Convertible Notes
2007-06-08−35,433→ 0 totalExercise: $7.00From: 2007-06-08Exp: 2007-06-08→ Common Stock (35,433 underlying)
Footnotes (6)
- [F1]Represents the shares of Series A Junior Convertible Preferred Stock on an as-converted to common stock basis. Upon the closing of the Issuer's initial public offering on June 8, 2007, all of the outstanding shares of Series A Junior Convertible Preferred Stock automatically converted into shares of common stock on a 1-for-5.2 basis.
- [F2]Consists of shares owned by the reporting filer's wife, Clara Serruya. The reporting filer disclaims beneficial ownership of these shares, except to the extent of any beneficial ownership therein.
- [F3]Consists of shares owned by the reporting filer's son, Michael Serruya. The reporting filer disclaims beneficial ownership of these shares, except to the extent of any beneficial ownership therein.
- [F4]Represents the shares issuable upon conversion of the Convertible Notes on an as-converted to common stock basis. Upon the closing of the Issuer's initial public offering on June 8, 2007, the principal amount of promissory notes to certain stockholders (plus accrued but unpaid interest) converted into shares of common stock at a fixed conversion price equal to the initial public offering price.
- [F5]Represents the shares of Series B Convertible Preferred Stock on an as-converted to common stock basis. Upon the closing of the Issuer's initial public offering, all shares of Series B Convertible Preferred Stock automatically converted into shares of common stock on a one-for-one basis.
- [F6]The total accrued but unpaid dividends related to the Series B Convertible Preferred Stock at the date of conversion also converted into common stock based on the fair market value of the common stock on that date. In payment of dividends accrued on the Series B Convertible Preferred Stock, the reporting filer's son received 2099 shares of Common Stock.
Documents
Issuer
RESPONSE GENETICS INC
CIK 0001124608
Entity typeoperating
Related Parties
1- filerCIK 0001124608
Filing Metadata
- Form type
- 4
- Filed
- Jun 11, 8:00 PM ET
- Accepted
- Jun 12, 4:36 PM ET
- Size
- 26.3 KB