4//SEC Filing
BARKAS ALEXANDER E 4
Accession 0001181431-10-055863
CIK 0001361103other
Filed
Nov 15, 7:00 PM ET
Accepted
Nov 16, 2:07 PM ET
Size
43.1 KB
Accession
0001181431-10-055863
Insider Transaction Report
Form 4
BARKAS ALEXANDER E
Director10% Owner
Transactions
- Exercise of In-Money
Warrant to Purchase Series D Preferred Stock
2010-11-16−29,343→ 0 total(indirect: See Footnote)Exercise: $7.56Exp: 2014-02-13→ Common Stock (29,343 underlying) - Exercise of In-Money
Warrant to Purchase Series D Preferred Stock
2010-11-16−10,240→ 0 total(indirect: See Footnote)Exercise: $7.56Exp: 2014-06-12→ Common Stock (10,240 underlying) - Exercise of In-Money
Common Stock, par value $0.001
2010-11-16$7.56/sh+29,343$221,833→ 2,273,329 total(indirect: See Footnote) - Tax Payment
Common Stock, par value $0.001
2010-11-16$9.00/sh−26,292$236,628→ 2,253,687 total(indirect: See Footnote) - Tax Payment
Common Stock, par value $0.001
2010-11-16$9.00/sh−8,602$77,418→ 2,255,325 total(indirect: See Footnote) - Conversion
Series B Preferred Stock
2010-11-16−601,248→ 0 total(indirect: See Footnote)→ Common Stock (601,248 underlying) - Conversion
Series D Preferred Stock
2010-11-16−674,426→ 0 total(indirect: See Footnote)→ Common Stock (674,426 underlying) - Conversion
Common Stock, par value $0.001
2010-11-16+160,552→ 761,800 total(indirect: See Footnote) - Conversion
Common Stock, par value $0.001
2010-11-16+807,760→ 2,243,986 total(indirect: See Footnote) - Tax Payment
Common Stock, par value $0.001
2010-11-16$9.00/sh−24,649$221,841→ 2,248,680 total(indirect: See Footnote) - Exercise of In-Money
Common Stock, par value $0.001
2010-11-16$7.56/sh+990$7,484→ 2,256,315 total(indirect: See Footnote) - Conversion
Series C Preferred Stock
2010-11-16−160,552→ 0 total(indirect: See Footnote)→ Common Stock (160,552 underlying) - Conversion
Series E Preferred Stock
2010-11-16−807,760→ 0 total(indirect: See Footnote)→ Common Stock (807,760 underlying) - Exercise of In-Money
Warrant to Purchase Series D Preferred Stock
2010-11-16−31,299→ 0 total(indirect: See Footnote)Exercise: $7.56Exp: 2014-04-06→ Common Stock (31,299 underlying) - Exercise of In-Money
Warrant to Purchase Series D Preferred Stock
2010-11-16−990→ 0 total(indirect: See Footnote)Exercise: $7.56Exp: 2014-08-05→ Common Stock (990 underlying) - Conversion
Common Stock, par value $0.001
2010-11-16+674,426→ 1,436,226 total(indirect: See Footnote) - Exercise of In-Money
Common Stock, par value $0.001
2010-11-16$7.56/sh+31,299$236,620→ 2,279,979 total(indirect: See Footnote) - Exercise of In-Money
Common Stock, par value $0.001
2010-11-16$7.56/sh+10,240$77,414→ 2,263,927 total(indirect: See Footnote) - Tax Payment
Common Stock, par value $0.001
2010-11-16$9.00/sh−832$7,488→ 2,255,483 total(indirect: See Footnote) - Conversion
Common Stock, par value $0.001
2010-11-16+601,248→ 601,248 total(indirect: See Footnote) - Purchase
Common Stock, par value $0.001
2010-11-16$9.00/sh+333,333$2,999,997→ 2,994,358 total(indirect: See Footnote)
Footnotes (8)
- [F1]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.
- [F2]The shares are owned by Prospect Venture Partners III, L.P. ("PVP III"). Prospect Management Co. III, L.L.C. ("PMC III") serves as the general partner of PVP III. Alexander E. Barkas, Ph.D., is a Managing Director of PMC III and shares voting and investment power over the shares held by PVP III. 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 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.
- [F4]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.
- [F5]The securities are immediately convertible.
- [F6]The expiration date is not relevant to the conversion of these securities.
- [F7]The warrant is immediately exercisable.
- [F8]PVP III purchased an additional 333,333 shares of Issuer's common stock in connection with the initial public offering at the offering price of $9.00 per share.
Documents
Issuer
COMPLETE GENOMICS INC
CIK 0001361103
Entity typeother
Related Parties
1- filerCIK 0001162058
Filing Metadata
- Form type
- 4
- Filed
- Nov 15, 7:00 PM ET
- Accepted
- Nov 16, 2:07 PM ET
- Size
- 43.1 KB