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