THRESHOLD PHARMACEUTICALS INC 4
4 · THRESHOLD PHARMACEUTICALS INC · Filed Jun 4, 2013
Insider Transaction Report
Form 4
SWEET DAVID E
10% Owner
Transactions
- Exercise of In-Money
Common Stock
2013-05-31$1.86/sh+5,864$10,907→ 39,966 total(indirect: By Trust) - Exercise of In-Money
Common Stock Warrant
2013-05-31−5,864→ 0 total(indirect: By Trust)Exercise: $1.86From: 2008-08-29Exp: 2013-08-29→ Common Stock (5,864 underlying) - Exercise of In-Money
Common Stock
2013-05-31$1.86/sh+801,952$1,491,631→ 4,785,597 total(indirect: By Partnership) - Sale
Common Stock
2013-05-31$5.72/sh−1,905$10,904→ 38,061 total(indirect: By Trust) - Exercise of In-Money
Common Stock
2013-05-31$1.86/sh+1,532$2,850→ 11,445 total(indirect: By Trust) - Exercise of In-Money
Common Stock Warrant
2013-05-31−801,952→ 0 total(indirect: By Partnership)Exercise: $1.86From: 2008-08-29Exp: 2013-08-29→ Common Stock (801,952 underlying) - Exercise of In-Money
Common Stock Warrant
2013-05-31−1,532→ 0 total(indirect: By Trust)Exercise: $1.86From: 2008-08-29Exp: 2013-08-29→ Common Stock (1,532 underlying) - Sale
Common Stock
2013-05-31$5.72/sh−260,592$1,491,629→ 4,525,005 total(indirect: By Partnership) - Sale
Common Stock
2013-05-31$5.72/sh−497$2,845→ 10,948 total(indirect: By Trust)
Holdings
- 3,960(indirect: By Partnership)
Common Stock
- 10,028(indirect: By Partnership)
Common Stock
Footnotes (6)
- [F1]Shares held by Sutter Hill Ventures, A California Limited Partnership. The reporting person is a Managing Director of the General Partner of Sutter Hill Ventures, A California Limited Partnership. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.
- [F2]On May 31, 2013, the reporting person exercised a warrant to purchase shares of the issuer's common stock for $1.86 per share. In accordance with the terms of the warrant, the exercise price was paid on a net basis. The shares reported in column 4 represent the number of shares of common stock withheld by the issuer to pay the exercise price.
- [F3]Shares held by SHV Profit Sharing Plan, a retirement trust, for the benefit of the reporting person.
- [F4]Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.
- [F5]Shares held by Sutter Hill Entrepreneurs Fund (AI), L.P. The reporting person is a Managing Director of the General Partner of Sutter Hill Entrepreneurs Fund (AI), L.P. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.
- [F6]Shares held by Sutter Hill Entrepreneurs Fund (QP), L.P. The reporting person is a Managing Director of the General Partner of Sutter Hill Entrepreneurs Fund (QP), L.P. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.