RESPONSE GENETICS INC 4
4 · RESPONSE GENETICS INC · Filed Jun 12, 2007
Insider Transaction Report
Form 4
Serruya Clara
10% Owner
Transactions
- 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) - Conversion
Common Stock
2007-06-08+603,907→ 828,899 total - Other
Common Stock
2007-06-08+2,099→ 3,939 total(indirect: See footnote 3) - 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) - Conversion
Common Stock
2007-06-08$7.00/sh+35,433$248,031→ 864,332 total - Conversion
Common Stock
2007-06-08+1,840→ 1,840 total(indirect: See footnote 3)
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 husband, Samuel 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.