APLIN JOHN C 4
4 · ENDOCYTE INC · Filed Feb 11, 2011
Insider Transaction Report
Form 4
ENDOCYTE INCECYT
APLIN JOHN C
Director
Transactions
- Conversion
Common Stock
2011-02-09+143,895→ 143,895 total(indirect: By CID Seed Fund, L.P.) - Conversion
Series C-1 Convertible Preferred Stock
2011-02-09−246,380→ 0 total(indirect: By CID Equity Capital VIII, L.P.)→ Common Stock (246,380 underlying) - Conversion
Series C-3 Convertible Preferred Stock
2011-02-09−41,855→ 0 total(indirect: By CID Equity Capital VIII, L.P.)→ Common Stock (41,855 underlying) - Conversion
Series C-1 Convertible Preferred Stock
2011-02-09−123,190→ 0 total(indirect: By CID Seed Fund, L.P.)→ Common Stock (123,190 underlying) - Conversion
Series C-3 Convertible Preferred Stock
2011-02-09−20,705→ 0 total(indirect: By CID Seed Fund, L.P.)→ Common Stock (20,705 underlying) - Award
Stock Option (right to buy)
2011-02-09+15,706→ 15,706 totalExercise: $7.23Exp: 2021-02-09→ Common Stock (15,706 underlying) - Conversion
Common Stock
2011-02-09+288,235→ 288,235 total(indirect: By CID Equity Capital VIII, L.P.)
Footnotes (4)
- [F1]Each share of the Issuer's Series A-1, Series A-2, Series B, Series C-1, Series C-2 and Series C-3 Preferred Stock automatically converted into shares of Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date.
- [F2]John Aplin is a Class A member of CID Equity Partners VIII, LLC, which has the ultimate voting and investment power over shares held of record by CID Equity Capital VIII, L.P., and he may be deemed to have voting and investment power over shares held of record by CID Equity Capital VIII, L.P. Mr. Aplin disclaims beneficial ownership of the shares directly held by the entities affiliated with CID except to the extent of his individual pecuniary interest therein.
- [F3]John Aplin is a general partner of CID Seed Fund Partners I which has the ultimate voting and investment power over shares held of record by CID Seed Fund, L.P., and he may be deemed to have voting and investment power over shares held of record by CID Seed Fund, L.P. Mr. Aplin disclaims beneficial ownership of the shares directly held by the entities affiliated with CID except to the extent of his individual pecuniary interest therein.
- [F4]Shares subject to the option vest 1/3 of the shares upon the business day before each of the Issuer's first three annual stockholder meetings following February 9, 2011.