4//SEC Filing
BARKAS ALEXANDER E 4
Accession 0001181431-10-058819
CIK 0001361103other
Filed
Dec 1, 7:00 PM ET
Accepted
Dec 2, 5:13 PM ET
Size
13.8 KB
Accession
0001181431-10-058819
Insider Transaction Report
Form 4
BARKAS ALEXANDER E
Director10% Owner
Transactions
- Award
Restricted Stock Units
2010-11-30+5,000→ 5,000 total→ Common Stock (5,000 underlying) - Award
Non-Qualified Stock Option (right to buy)
2010-11-30+10,000→ 10,000 totalExercise: $7.75Exp: 2020-11-30→ Common Stock (10,000 underlying)
Holdings
- 2,994,358(indirect: See Footnote)
Common Stock, par value $0.001
Footnotes (4)
- [F1]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.
- [F2]Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.
- [F3]The restricted stock units vest in three successive and equal annual installments measured from November 30, 2010, such that the restricted stock units will vest in full on the third anniversary of November 30, 2010, subject to the Reporting Person's continued employment or service relationship with the Issuer on each of the vesting dates. Such restricted stock units include a change of control provision such that all unvested awards will immediately vest and become exercisable in connection with a change of control of Issuer.
- [F4]The shares subject to the option will vest in 36 successive and equal monthly installments measured from November 30, 2010, such that 100% of the shares subject to the option will be fully vested on the third anniversary of November 30, 2010, subject to the Reporting Person's continued employment or service relationship with the Issuer on each of the vesting dates. Such option includes a change of control provision such that all unvested shares will immediately vest and become exercisable in connection with a change of control of Issuer.
Issuer
COMPLETE GENOMICS INC
CIK 0001361103
Entity typeother
Related Parties
1- filerCIK 0001162058
Filing Metadata
- Form type
- 4
- Filed
- Dec 1, 7:00 PM ET
- Accepted
- Dec 2, 5:13 PM ET
- Size
- 13.8 KB