0001209191-13-038810.txt : 20130801
0001209191-13-038810.hdr.sgml : 20130801
20130801191149
ACCESSION NUMBER: 0001209191-13-038810
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130730
FILED AS OF DATE: 20130801
DATE AS OF CHANGE: 20130801
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Conatus Pharmaceuticals Inc
CENTRAL INDEX KEY: 0001383701
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 203183915
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 4365 EXECUTIVE DRIVE
STREET 2: Suite 200
CITY: San Diego
STATE: CA
ZIP: 92121
BUSINESS PHONE: (858) 558-8130
MAIL ADDRESS:
STREET 1: 4365 EXECUTIVE DRIVE
STREET 2: Suite 200
CITY: San Diego
STATE: CA
ZIP: 92121
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: HALE DAVID F
CENTRAL INDEX KEY: 0001024004
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
STATE OF INCORPORATION: CA
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36003
FILM NUMBER: 131004135
MAIL ADDRESS:
STREET 1: 1042-B NORTH EL CAMINO REAL, SUITE 430
CITY: ENCINITAS
STATE: CA
ZIP: 92024
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2013-07-30
0
0001383701
Conatus Pharmaceuticals Inc
CNAT
0001024004
HALE DAVID F
C/O CONATUS PHARMACEUTICALS INC.
4365 EXECUTIVE DRIVE, SUITE 200
SAN DIEGO
CA
92121
1
0
0
0
Common Stock
2013-07-30
4
C
0
19679
A
140890
I
See footnote
Common Stock
2013-07-30
4
J
0
261
11.00
A
141151
I
See footnote
Common Stock
2013-07-30
4
P
0
2588
11.00
A
143739
I
See footnote
Series A Preferred Stock
2013-07-30
4
C
0
162356
D
Common Stock
19679
0
I
See footnote
Stock Option (Right to Buy)
11.00
2013-07-30
4
A
0
50000
0.00
A
2023-07-29
Common Stock
50000
50000
D
The outstanding shares of Preferred Stock of the Issuer automatically converted into the shares of Common Stock of the Issuer at the closing of the Issuer's initial public offering (the "IPO") at a conversion ratio of 1 share of Common Stock for every 8.25 shares of Preferred Stock, rounded down to the nearest whole number, for no additional consideration.
Represents 128,769 shares held by Hale BioPharma Ventures, LLC and 12,121 shares held by Hale Trading Company, LP. Mr. Hale holds sole voting and investment power with respect to the shares held by these entities.
The common stock was acquired upon conversion of a convertible promissory note exempt from the definition of a derivative security because the conversion price did not become fixed until automatic conversion at the time of the closing of the IPO.
Represents 129,030 shares held by Hale BioPharma Ventures, LLC and 12,121 shares held by Hale Trading Company, LP. Mr. Hale holds sole voting and investment power with respect to the shares held by these entities.
Represents 131,618 shares held by Hale BioPharma Ventures, LLC and 12,121 shares held by Hale Trading Company, LP. Mr. Hale holds sole voting and investment power with respect to the shares held by these entities.
Held by Hale BioPharma Ventures, LLC of which Mr. Hale serves as CEO. Mr. Hale holds sole voting and investment power with respect to the securities held by that entity.
The shares subject to this option become exercisable as they vest. One-third of the total number of shares subject to this option vests and becomes exercisable on each anniversary of the grant date, so that the entire number of shares subject to this option becomes fully vested and exercisable on the third anniversary of the grant date.
/s/ Charles J. Cashion, Attorney-in-Fact for David F. Hale
2013-08-01