4//SEC Filing
SENYEI ANDREW E 4
Accession 0001181431-10-055846
CIK 0001361103other
Filed
Nov 15, 7:00 PM ET
Accepted
Nov 16, 1:54 PM ET
Size
63.2 KB
Accession
0001181431-10-055846
Insider Transaction Report
Form 4
SENYEI ANDREW E
Director10% Owner
Transactions
- Other
Warrant to Purchase Series B Preferred Stock
2010-11-16−242→ 0 total(indirect: See Footnote)Exercise: $11.64Exp: 2012-03-12→ Common Stock (242 underlying) - Conversion
Common Stock, par value $0.001
2010-11-16+488,789→ 1,239,296 total(indirect: See Footnote) - Tax Payment
Common Stock, par value $0.001
2010-11-16$9.00/sh−51,489$463,401→ 2,043,831 total(indirect: See Footnote) - Exercise of In-Money
Common Stock, par value $0.001
2010-11-16$7.56/sh+32,364$244,672→ 2,076,195 total(indirect: See Footnote) - Exercise of In-Money
Common Stock, par value $0.001
2010-11-16$7.56/sh+17,261$130,493→ 2,066,270 total(indirect: See Footnote) - Tax Payment
Common Stock, par value $0.001
2010-11-16$9.00/sh−2,485$22,365→ 2,052,243 total(indirect: See Footnote) - Tax Payment
Common Stock, par value $0.001
2010-11-16$9.00/sh−921$8,289→ 2,052,418 total(indirect: See Footnote) - Conversion
Series B Preferred Stock
2010-11-16−257,677→ 0 total(indirect: See Footnote)→ Common Stock (257,677 underlying) - Conversion
Series D Preferred Stock
2010-11-16−488,789→ 0 total(indirect: See Footnote)→ Common Stock (488,789 underlying) - Conversion
Series E Preferred Stock
2010-11-16−27,049→ 0 total(indirect: See Footnote)→ Common Stock (27,049 underlying) - Exercise of In-Money
Warrant to Purchase Common Stock
2010-11-16−138,794→ 0 total(indirect: See Footnote)Exercise: $1.50Exp: 2016-08-12→ Common Stock (138,794 underlying) - Exercise of In-Money
Common Stock, par value $0.001
2010-11-16$1.50/sh+308,930$463,395→ 2,095,320 total(indirect: See Footnote) - Conversion
Series D Preferred Stock
2010-11-16−176,737→ 0 total(indirect: See Footnote)→ Common Stock (176,737 underlying) - Conversion
Series E Preferred Stock
2010-11-16−259,458→ 0 total(indirect: See Footnote)→ Common Stock (259,458 underlying) - Exercise of In-Money
Warrant to Purchase Series D Preferred Stock
2010-11-16−32,364→ 0 total(indirect: See Footnote)Exercise: $7.56Exp: 2014-02-13→ Common Stock (32,364 underlying) - Conversion
Common Stock, par value $0.001
2010-11-16+315,746→ 315,746 total(indirect: See Footnote) - Conversion
Common Stock, par value $0.001
2010-11-16+177,084→ 750,507 total(indirect: See Footnote) - Conversion
Common Stock, par value $0.001
2010-11-16+547,094→ 1,786,390 total(indirect: See Footnote) - Tax Payment
Common Stock, par value $0.001
2010-11-16$9.00/sh−14,500$130,500→ 2,051,770 total(indirect: See Footnote) - Conversion
Series C Preferred Stock
2010-11-16−177,084→ 0 total(indirect: See Footnote)→ Common Stock (177,084 underlying) - Conversion
Common Stock, par value $0.001
2010-11-16+257,677→ 573,423 total(indirect: See Footnote) - Tax Payment
Common Stock, par value $0.001
2010-11-16$9.00/sh−27,186$244,674→ 2,049,009 total(indirect: See Footnote) - Exercise of In-Money
Common Stock, par value $0.001
2010-11-16$7.56/sh+2,958$22,362→ 2,054,728 total(indirect: See Footnote) - Exercise of In-Money
Common Stock, par value $0.001
2010-11-16$7.56/sh+1,096$8,286→ 2,053,339 total(indirect: See Footnote) - Conversion
Series A Preferred Stock
2010-11-16−315,746→ 0 total(indirect: See Footnote)→ Common Stock (315,746 underlying) - Conversion
Series D Preferred Stock
2010-11-16−66,138→ 0 total(indirect: See Footnote)→ Common Stock (66,138 underlying) - Conversion
Series E Preferred Stock
2010-11-16−547,094→ 0 total(indirect: See Footnote)→ Common Stock (547,094 underlying) - Exercise of In-Money
Warrant to Purchase Common Stock
2010-11-16−308,930→ 0 total(indirect: See Footnote)Exercise: $1.50Exp: 2016-08-12→ Common Stock (308,930 underlying) - Other
Warrant to Purchase Series B Preferred Stock
2010-11-16−924→ 0 total(indirect: See Footnote)Exercise: $11.64Exp: 2012-02-21→ Common Stock (924 underlying) - Exercise of In-Money
Warrant to Purchase Series D Preferred Stock
2010-11-16−17,261→ 0 total(indirect: See Footnote)Exercise: $7.56Exp: 2014-04-06→ Common Stock (17,261 underlying)
Footnotes (12)
- [F1]Each share of Series A Preferred Stock was automatically converted into common stock immediately prior to the completion of the Issuer's initial public offering. Shares are reported on an "as converted" basis giving effect to the 4.615101 conversion ratio applicable to such shares.
- [F10]The warrant is immediately exercisable.
- [F11]The Exercise Price of the Warrant to Purchase Series B Preferred Stock is $69.00 per share of Series B Preferred Stock. The exercise price is reported on an "as converted" basis after giving effect to the 5.926613 conversion ratio.
- [F12]Warrant canceled pursuant to its terms concurrent with closing of Issuer's initial public offering.
- [F2]The shares are owned by Enterprise Partners VI, LP ("Enterprise VI"). Enterprise Management Partners VI, LLC ("Enterprise VI LLC") serves as the general partner of Enterprise VI. Andrew E. Senyei, M.D. is a managing director of Enterprise VI LLC and shares voting and investment power over the shares held by Enterprise VI. The Reporting Person disclaims beneficial ownership of the shares reported herein, except to the extent of his proportionate pecuniary interest therein.
- [F3]Each share of Series B Preferred Stock was automatically converted into common stock immediately prior to the completion of the Issuer's initial public offering. Shares are reported on an "as converted" basis giving effect to the 5.926613 conversion ratio applicable to such shares.
- [F4]Each share of Series C Preferred Stock was automatically converted into common stock immediately prior to the completion of the Issuer's initial public offering. Shares are reported on an "as converted" basis giving effect to the 8.241076 conversion ratio applicable to such shares.
- [F5]Each share of Series D and Series E Preferred Stock was automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering.
- [F6]The shares are owned by Enterprise Partners Management, LLC ("Enterprise LLC"). Andrew E. Senyei, M.D. is a managing director of Enterprise LLC and shares voting and investment power over the shares held by Enterprise LLC. The Reporting Person disclaims beneficial ownership of the shares reported herein, except to the extent of his proportionate pecuniary interest therein.
- [F7]The shares are owned by Enterprise Partners V, LP ("Enterprise V"). Enterprise Management Partners V, LLC ("Enterprise V LLC") serves as the general partner of Enterprise V. Andrew E. Senyei, M.D. is a managing director of Enterprise V LLC and shares voting and investment power over the shares held by Enterprise V. The Reporting Person disclaims beneficial ownership of the shares reported herein, except to the extent of his proportionate pecuniary interest therein.
- [F8]The securities are immediately convertible.
- [F9]The expiration date is not relevant to the conversion of these securities.
Documents
Issuer
COMPLETE GENOMICS INC
CIK 0001361103
Entity typeother
Related Parties
1- filerCIK 0001250018
Filing Metadata
- Form type
- 4
- Filed
- Nov 15, 7:00 PM ET
- Accepted
- Nov 16, 1:54 PM ET
- Size
- 63.2 KB