SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
HIGHLAND CAPITAL MANAGEMENT LP

(Last) (First) (Middle)
C/O HIGHLAND CAPITAL MANAGEMENT
13455 NOEL ROAD, 8TH FLOOR

(Street)
DALLAS TX 75240

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
COMPLETE GENOMICS INC [ GNOM ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
11/16/2010
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock, par value $0.001 11/16/2010 C 465,596 A (1) 465,596 I See Footnotes(2)(3)
Common Stock, par value $0.001 11/16/2010 C 535,696 A (4) 1,001,292 I See Footnotes(2)(3)
Common Stock, par value $0.001 11/16/2010 C 563,018 A (4) 1,564,310 I See Footnotes(2)(3)
Common Stock, par value $0.001 11/16/2010 X 329,638 A $1.5 1,893,948 I See Footnotes(2)(3)
Common Stock, par value $0.001 11/16/2010 F 54,940 D $9 1,839,008 I See Footnotes(2)(3)
Common Stock, par value $0.001 11/16/2010 X 11,746 A $7.56 1,850,754 I See Footnotes(2)(3)
Common Stock, par value $0.001 11/16/2010 F 9,867 D $9 1,840,887 I See Footnotes(2)(3)
Common Stock, par value $0.001 11/16/2010 X 12,529 A $7.56 1,853,416 I See Footnotes(2)(3)
Common Stock, par value $0.001 11/16/2010 F 10,525 D $9 1,842,891 I See Footnotes(2)(3)
Common Stock, par value $0.001 11/16/2010 X 20,876 A $7.56 1,863,767 I See Footnotes(2)(3)
Common Stock, par value $0.001 11/16/2010 F 17,536 D $9 1,846,231 I See Footnotes(2)(3)
Common Stock, par value $0.001 11/16/2010 X 906 A $7.56 1,847,137 I See Footnotes(2)(3)
Common Stock, par value $0.001 11/16/2010 F 762 D $9 1,846,375 I See Footnotes(2)(3)
Common Stock, par value $0.001 11/16/2010 C 362,120 A (1) 362,120 I See Footnotes(2)(3)
Common Stock, par value $0.001 11/16/2010 C 52,969 A (4) 415,089 I See Footnotes(2)(3)
Common Stock, par value $0.001 11/16/2010 C 233,402 A (4) 648,491 I See Footnotes(2)(3)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Series C Preferred Stock(1) (1) 11/16/2010 C 465,596 (5) (6) Common Stock 465,596 (1) 0 I See Footnotes(2)(3)
Series C Preferred Stock(1) (1) 11/16/2010 C 362,120 (5) (6) Common Stock 362,120 (1) 0 I See Footnotes(2)(3)
Series D Preferred Stock(4) (4) 11/16/2010 C 535,696 (5) (6) Common Stock 535,696 (4) 0 I See Footnotes(2)(3)
Series D Preferred Stock(4) (4) 11/16/2010 C 52,969 (5) (6) Common Stock 52,969 (4) 0 I See Footnotes(2)(3)
Series E Preferred Stock(4) (4) 11/16/2010 C 563,018 (5) (6) Common Stock 563,018 (4) 0 I See Footnotes(2)(3)
Series E Preferred Stock(4) (4) 11/16/2010 C 233,402 (5) (6) Common Stock 233,402 (4) 0 I See Footnotes(2)(3)
Warrant to Purchase Common Stock $1.5 11/16/2010 X 329,638 (7) 08/12/2016 Common Stock 329,638 $0 0 I See Footnotes(2)(3)
Warrant to Purchase Series D Preferred Stock(4) $7.56 11/16/2010 X 11,746 (7) 02/13/2014 Common Stock 11,746 $0 0 I See Footnotes(2)(3)
Warrant to Purchase Series D Preferred Stock(4) $7.56 11/16/2010 X 12,529 (7) 04/06/2014 Common Stock 12,529 $0 0 I See Footnotes(2)(3)
Warrant to Purchase Series D Preferred Stock(4) $7.56 11/16/2010 X 20,876 (7) 06/12/2014 Common Stock 20,876 $0 0 I See Footnotes(2)(3)
Warrant to Purchase Series D Preferred Stock(4) $7.56 11/16/2010 X 906 (7) 08/05/2014 Common Stock 906 $0 0 I See Footnotes(2)(3)
1. Name and Address of Reporting Person*
HIGHLAND CAPITAL MANAGEMENT LP

(Last) (First) (Middle)
C/O HIGHLAND CAPITAL MANAGEMENT
13455 NOEL ROAD, 8TH FLOOR

(Street)
DALLAS TX 75240

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Strand Advisors, Inc.

(Last) (First) (Middle)
13455 NOEL ROAD
SUITE 800

(Street)
DALLAS TX 75240

(City) (State) (Zip)
1. Name and Address of Reporting Person*
DONDERO JAMES D

(Last) (First) (Middle)
13455 NOEL ROAD, STE 1300

(Street)
DALLAS TX 75240

(City) (State) (Zip)
Explanation of Responses:
1. Each share of Series C Preferred Stock was automatically converted into common stock immediately prior to the completion of the Issuer's initial public offering. Shares are reported on an "as converted" basis giving effect to the 8.241076 conversion ratio applicable to such shares.
2. This statement is jointly filed by and on behalf of each of Highland Capital Management, L.P., Strand Advisors, Inc., and James D. Dondero. Highland acts as an investment adviser to, and manages investment and trading accounts of, other persons and may be deemed, through investment advisory contracts or otherwise, to beneficially own securities owned by other persons. Strand Advisors is the general partner of Highland and may be deemed to beneficially own securities owned by Highland. Mr. Dondero is the President and a director of Strand Advisors and may be deemed to beneficially own securities owned by Strand Advisors.
3. Each reporting person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for purposes of Section 16 of the Act or otherwise, the beneficial owners of any securities covered by this statement. Each reporting person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities.
4. Each share of Series D and Series E Preferred Stock will automatically convert on a 1 for 1 basis into common stock upon the closing of the Issuer's initial public offering.
5. The securities are immediately convertible.
6. The expiration date is not relevant to the conversion of these securities.
7. The warrant is immediately exercisable.
/s/ James D. Dondero for Highland Capital Management, L.P. 11/16/2010
/s/ James D. Dondero for Strand Advisors, Inc. 11/16/2010
/s/ James D. Dondero 11/16/2010
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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