RESPONSE GENETICS INC 4

Accession 0001144204-07-031458

CIK 0001124608operating

Filed

Jun 11, 8:00 PM ET

Accepted

Jun 12, 4:42 PM ET

Size

23.6 KB

Accession

0001144204-07-031458

Form 4

Period: 2007-06-04

Director

Transactions

Other
Common Stock
2007-06-04−15,713→ 352,095 total
Conversion
Common Stock
2007-06-04$7.00/sh+23,759$166,313→ 563,875 total(indirect: See footnote 2)
Other
Common Stock
2007-06-04−15,712→ 135,150 total(indirect: See footnote 2)
Conversion
Common Stock
2007-06-08+987,220→ 1,339,315 total
Conversion
Common Stock
2007-06-04+404,966→ 540,116 total(indirect: See footnote 2)
Conversion
Convertible Notes
2007-06-08−57,922→ 0 total
Exercise: $7.00From: 2007-06-08Exp: 2007-06-08→ Common Stock (57,922 underlying)
Conversion
Common Stock
2007-06-08$7.00/sh+57,922$405,454→ 1,397,237 total
Conversion
Series A Junior Convertible Preferred Stock
2007-06-08−404,966→ 0 total(indirect: See footnote 2)
Exercise: $0.00From: 2007-06-08Exp: 2007-06-08→ Common Stock (404,966 underlying)
Conversion
Series A Junior Convertible Preferred Stock
2007-06-08−987,220→ 0 total
Exercise: $0.00From: 2007-06-08Exp: 2007-06-08→ Common Stock (987,220 underlying)
Conversion
Convertible Notes
2007-06-08−23,759→ 0 total(indirect: See footnote 2)
Exercise: $7.00From: 2007-06-08Exp: 2007-06-08→ Common Stock (23,759 underlying)

Footnotes (5)

[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 mother, Susan Smith. The reporting filer disclaims beneficial ownership of these shares, except to the extent of any beneficial ownership therein.
[F3]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.
[F4]Consists of shares of common stock transferred by David Michael Smith to certain of our existing stockholders upon the effectiveness of the Issuer's initial public offering for no monetary consideration.
[F5]Consists of shares of common stock transferred by the reporting filer's mother to certain of our existing stockholders upon the effectiveness of the Issuer's initial public offering for no monetary consideration.

Documents

1 file

RESPONSE GENETICS INC

CIK 0001124608

Entity typeoperating