4//SEC Filing
Conatus Pharmaceuticals Inc 4
Accession 0001209191-13-038629
CIK 0001383701operating
Filed
Jul 31, 8:00 PM ET
Accepted
Aug 1, 2:19 PM ET
Size
24.9 KB
Accession
0001209191-13-038629
Insider Transaction Report
Form 4
EVNIN LUKE
10% Owner
Transactions
- Conversion
Common Stock
2013-07-30+1,010,099→ 1,010,099 total(indirect: See Footnote) - Purchase
Common Stock
2013-07-30$11.00/sh+165,265$1,817,915→ 1,192,080 total(indirect: See Footnote) - Other
Common Stock
2013-07-30$11.00/sh+16,716$183,876→ 1,026,815 total(indirect: See Footnote) - Conversion
Series B Convertible Preferred Stock
2013-07-30−8,333,334→ 0 total(indirect: See Footnote)→ Common Stock (1,010,099 underlying) - Conversion
Warrant to Purchase Series B Preferred Stock (Right to Buy)
2013-07-30−265,837→ 0 total(indirect: See Footnote)Exercise: $0.90From: 2013-05-30Exp: 2018-05-30→ Series B Preferred Stock (265,837 underlying) - Conversion
Warrant to Purchase Common Stock (Right to Buy)
2013-07-30+32,220→ 32,220 total(indirect: See Footnote)Exercise: $7.43Exp: 2018-05-30→ Common Stock (32,220 underlying)
GADICKE ANSBERT
10% Owner
Transactions
- Conversion
Warrant to Purchase Series B Preferred Stock (Right to Buy)
2013-07-30−265,837→ 0 total(indirect: See Footnote)Exercise: $0.90From: 2013-05-30Exp: 2018-05-30→ Series B Preferred Stock (265,837 underlying) - Purchase
Common Stock
2013-07-30$11.00/sh+165,265$1,817,915→ 1,192,080 total(indirect: See Footnote) - Conversion
Common Stock
2013-07-30+1,010,099→ 1,010,099 total(indirect: See Footnote) - Other
Common Stock
2013-07-30$11.00/sh+16,716$183,876→ 1,026,815 total(indirect: See Footnote) - Conversion
Series B Convertible Preferred Stock
2013-07-30−8,333,334→ 0 total(indirect: See Footnote)→ Common Stock (1,010,099 underlying) - Conversion
Warrant to Purchase Common Stock (Right to Buy)
2013-07-30+32,220→ 32,220 total(indirect: See Footnote)Exercise: $7.43Exp: 2018-05-30→ Common Stock (32,220 underlying)
Vander Vort John
10% Owner
Transactions
- Conversion
Series B Convertible Preferred Stock
2013-07-30−8,333,334→ 0 total(indirect: See Footnote)→ Common Stock (1,010,099 underlying) - Purchase
Common Stock
2013-07-30$11.00/sh+165,265$1,817,915→ 1,192,080 total(indirect: See Footnote) - Conversion
Common Stock
2013-07-30+1,010,099→ 1,010,099 total(indirect: See Footnote) - Other
Common Stock
2013-07-30$11.00/sh+16,716$183,876→ 1,026,815 total(indirect: See Footnote) - Conversion
Warrant to Purchase Series B Preferred Stock (Right to Buy)
2013-07-30−265,837→ 0 total(indirect: See Footnote)Exercise: $0.90From: 2013-05-30Exp: 2018-05-30→ Series B Preferred Stock (265,837 underlying) - Conversion
Warrant to Purchase Common Stock (Right to Buy)
2013-07-30+32,220→ 32,220 total(indirect: See Footnote)Exercise: $7.43Exp: 2018-05-30→ Common Stock (32,220 underlying)
Foley Todd
10% Owner
Transactions
- Purchase
Common Stock
2013-07-30$11.00/sh+165,265$1,817,915→ 1,192,080 total(indirect: See Footnote) - Other
Common Stock
2013-07-30$11.00/sh+16,716$183,876→ 1,026,815 total(indirect: See Footnote) - Conversion
Series B Convertible Preferred Stock
2013-07-30−8,333,334→ 0 total(indirect: See Footnote)→ Common Stock (1,010,099 underlying) - Conversion
Common Stock
2013-07-30+1,010,099→ 1,010,099 total(indirect: See Footnote) - Conversion
Warrant to Purchase Series B Preferred Stock (Right to Buy)
2013-07-30−265,837→ 0 total(indirect: See Footnote)Exercise: $0.90From: 2013-05-30Exp: 2018-05-30→ Series B Preferred Stock (265,837 underlying) - Conversion
Warrant to Purchase Common Stock (Right to Buy)
2013-07-30+32,220→ 32,220 total(indirect: See Footnote)Exercise: $7.43Exp: 2018-05-30→ Common Stock (32,220 underlying)
KAILIAN VAUGHN M
10% Owner
Transactions
- Conversion
Warrant to Purchase Series B Preferred Stock (Right to Buy)
2013-07-30−265,837→ 0 total(indirect: See Footnote)Exercise: $0.90From: 2013-05-30Exp: 2018-05-30→ Series B Preferred Stock (265,837 underlying) - Conversion
Warrant to Purchase Common Stock (Right to Buy)
2013-07-30+32,220→ 32,220 total(indirect: See Footnote)Exercise: $7.43Exp: 2018-05-30→ Common Stock (32,220 underlying) - Conversion
Common Stock
2013-07-30+1,010,099→ 1,010,099 total(indirect: See Footnote) - Other
Common Stock
2013-07-30$11.00/sh+16,716$183,876→ 1,026,815 total(indirect: See Footnote) - Purchase
Common Stock
2013-07-30$11.00/sh+165,265$1,817,915→ 1,192,080 total(indirect: See Footnote) - Conversion
Series B Convertible Preferred Stock
2013-07-30−8,333,334→ 0 total(indirect: See Footnote)→ Common Stock (1,010,099 underlying)
Footnotes (13)
- [F1]The shares are held as follows: 473,353 by MPM BioVentures IV-QP, L.P. ("BV IV QP"), 18,236 by MPM BioVentures IV GmbH & Co. Beteiligungs KG ("BV IV KG"), 13,460 by MPM Asset Management Investors BV4 LLC ("AM BV4"), 486,164 by MPM BioVentures V, L.P. ("BV V") and 18,886 by MPM Asset Management Investors BV5 LLC ("AM BV5"). MPM BioVentures IV GP LLC and MPM BioVentures IV LLC ("BV LLC") are the direct and indirect general partners of BV IV QP and BV IV KG and BV LLC is the manager of AM BV4. MPM BioVentures V GP LLC and MPM BioVentures V LLC ("BV V LLC") are the direct and indirect general partners of BV V and BV V LLC is the manager of AM BV5. Ansbert Gadicke, Luke Evnin, Vaughn M. Kailian,James Paul Scopa, Todd Foley and John Vander Vort are the members of BV LLC and BV V LLC. Each Reporting Person disclaims beneficial ownership of the securities except to the extent of his or its respective pecuniary interest therein.
- [F10]The shares of Series B Preferred Stock were held as follows: 3,905,170 by BV IV QP, 150,450 by BV IV KG, 111,047 by AM BV4, 4,010,853 by BV V and 155,814 by AM BV5.
- [F11]Represents the automatic conversion of warrants to purchase Series B Preferred Stock into warrants to purchase Common Stock on a 1-for-8.25 basis upon the closing of the IPO.
- [F12]The warrants were held as follows: 124,577 by BV IV QP, 4,799 by BV IV KG, 3,542 by AM BV4, 127,948 by BV V and 4,971 by AM BV5.
- [F13]The warrants are held as follows: 15,100 by BV IV QP, 581 by BV IV KG, 429 by AM BV4, 15,508 by BV V and 602 by AM BV5. Each Reporting Person disclaims beneficial ownership of the securities except to the extent of his or its respective pecuniary interest therein.
- [F2]Each share of Series B Preferred Stock automatically converted into 0.121212 of a share of Common Stock without payment of further consideration upon the closing of the Issuer's initial public offering ("IPO"). The shares had no expiration date.
- [F3]Represent the conversion of outstanding promissory notes in the principal amount of $182,056.00, plus interest accrued at 6% per annum, which became convertible at $11.00 per share, and simultaneously automatically converted into shares of the Issuer's Common Stock, upon the closing of the IPO. The principal amount of the notes were held as follows: $85,315.15 by BV IV QP, $3,286.84 by BV IV KG, $2,426.01 by AM BV4, $87,623.98 by BV V and $3,404.02 by AM BV5 and the principal and interest converted into the following shares of Common Stock: 7,833 by BV IV QP, 302 by BV IV KG, 223 by AM BV4, 8,045 by BV V and 313 by AM BV5.
- [F4]The shares were acquired as follows: 7,833 by BV IV QP, 302 by BV IV KG, 223 by AM BV4, 8,045 by BV V and 313 by AM BV5.
- [F5]The shares are held as follows: 481,186 by BV IV QP, 18,538 by BV IV KG, 13,683 by AM BV4, 494,209 by BV V and 19,199 by AM BV5. Each Reporting Person disclaims beneficial ownership of the securities except to the extent of his or its respective pecuniary interest therein.
- [F6]The shares were purchased as follows: 77,447 by BV IV QP, 2,983 by BV IV KG, 2,202 by AM BV4, 79,543 by BV V and 3,090 by AM BV5.
- [F7]The shares are held as follows: 558,633 by BV IV QP, 21,521 by BV IV KG, 15,885 by AM BV4, 573,752 by BV V and 22,289 by AM BV5. Each Reporting Person disclaims beneficial ownership of the securities except to the extent of his or its respective pecuniary interest therein.
- [F8]Immediately.
- [F9]Not applicable.
Documents
Issuer
Conatus Pharmaceuticals Inc
CIK 0001383701
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001383701
Filing Metadata
- Form type
- 4
- Filed
- Jul 31, 8:00 PM ET
- Accepted
- Aug 1, 2:19 PM ET
- Size
- 24.9 KB