ENNIS GREGORY 4

4 · GENITOPE CORP · Filed Nov 5, 2003

Form 4

Period: 2003-11-04

Director

Transactions

Conversion
Common Stock
2003-11-04+39,609→ 100,816 total(indirect: By Partnership)
Conversion
Series E Preferred Stock
2003-11-04−407,346→ 0 total(indirect: By Partnership)
→ Common Stock (407,346 underlying)
Conversion
Series C Preferred Stock
2003-11-04−3,341→ 0 total
→ Common Stock (3,341 underlying)
Conversion
Series D Preferred Stock
2003-11-04−2,895→ 0 total(indirect: By Partnership)
→ Common Stock (2,895 underlying)
Conversion
Series C Preferred Stock
2003-11-04−6,236→ 0 total(indirect: By Partnership)
→ Common Stock (6,236 underlying)
Conversion
Common Stock
2003-11-04+3,341→ 26,674 total
Purchase
Common Stock
2003-11-04$9.00/sh+1,800$16,200→ 1,800 total(indirect: By 401(k))
Conversion
Common Stock
2003-11-04+6,236→ 6,236 total(indirect: By Partnership)
Conversion
Common Stock
2003-11-04+61,207→ 61,207 total(indirect: By Partnership)
Conversion
Common Stock
2003-11-04+407,346→ 407,346 total(indirect: By Partnership)
Conversion
Series D Preferred Stock
2003-11-04−61,207→ 0 total(indirect: By Partnership)
→ Common Stock (61,207 underlying)
Conversion
Series E Preferred Stock
2003-11-04−39,609→ 0 total(indirect: By Partnership)
→ Common Stock (39,609 underlying)
Conversion
Common Stock
2003-11-04+2,895→ 2,895 total(indirect: By Partnership)

Footnotes (9)

[F1]Not applicable.
[F2]Shares are held directly by the Peninsula Equity 401(k) Plan & Trust FBO Gregory Ennis.
[F3]Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.
[F4]Shares are held directly by TB&G Enterprises. Reporting Person is a partner of TB&G Enterprises.
[F5]Shares are held directly by Peninsula Equity Partners, L.P. Reporting Person is a managing member of the general partner of Peninsula Equity Partners, L.P.
[F6]Shares are held directly by Peninsula Equity Partners SBIC, L.P. Reporting Person is a managing member of the general partner of Peninsula Equity Partners SBIC, L.P.
[F7]Shares are held directly by Peninsula Sodalis Fund, L.P. Reporting Person is a managing member of the general partner of Peninsula Sodalis Fund, L.P.
[F8]Convertible on a 1-for-1 basis into shares of Common Stock upon the closing of Issuer's initial public offering.
[F9]Shares are held directly by Peninsula Sodalis Fund, L.P. Reporting Person is a managing member of the general partner of Peninsula Sodalis Fund, L.P.

Documents

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