0001181431-11-059448.txt : 20111208 0001181431-11-059448.hdr.sgml : 20111208 20111208131402 ACCESSION NUMBER: 0001181431-11-059448 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111130 FILED AS OF DATE: 20111208 DATE AS OF CHANGE: 20111208 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WAITE CHARLES P JR CENTRAL INDEX KEY: 0001134570 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34939 FILM NUMBER: 111250417 MAIL ADDRESS: STREET 1: OVP VENTURE PARTNERS STREET 2: 1010 MARKET STREET CITY: KIRKLAND STATE: WA ZIP: 98033 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: COMPLETE GENOMICS INC CENTRAL INDEX KEY: 0001361103 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMMERCIAL PHYSICAL & BIOLOGICAL RESEARCH [8731] IRS NUMBER: 203226545 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2071 STIERLIN COURT CITY: MOUNTAIN VIEW STATE: CA ZIP: 94043 BUSINESS PHONE: (650) 943-2843 MAIL ADDRESS: STREET 1: 2071 STIERLIN COURT CITY: MOUNTAIN VIEW STATE: CA ZIP: 94043 4 1 rrd327621.xml X0304 4 2011-11-30 0 0001361103 COMPLETE GENOMICS INC GNOM 0001134570 WAITE CHARLES P JR C/O OVP VENTURE PARTNER 1010 MARKET STREET KIRKLAND WA 98033 1 0 1 0 Common Stock, par value $0.001 2011-11-30 4 M 0 1666 0.00 A 1666 D Common Stock, par value $0.001 2011-12-06 4 S 0 42575 3.1279 D 2626895 I See Footnote Common Stock, par value $0.001 32079 I See Footnote Restricted Stock Units 0.00 2011-11-30 4 M 0 1666 0.00 D Common Stock 1666 3334 D The shares were acquired upon vesting and conversion of Restricted Stock Units, which were received as a grant for which no consideration was paid. The transaction was executed in multiple trades in prices ranging from $3.10 to $3.16, inclusive. The price reported in Column 4 above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer, or a stockholder of the Issuer, information regarding the number of shares and prices at which the transaction was effected. The shares are owned by OVP Venture Partners VI, L.P. ("OVP VI"). OVMC VI, LLC ("OVMC VI LLC") serves as the general partner of OVP VI. Charles P. Waite, Jr. is a managing member of OVMC VI LLC and shares voting and investment power over the shares held by OVP VI. The Reporting Person disclaims beneficial ownership of the shares reported herein, except to the extent of his proportionate pecuniary interest therein. The shares are owned by OVP VI Entrepreneurs Fund, L.P. (OVP VI Entrepreneurs"). OVMC VI LLC serves as the general partner of OVP VI Entrepreneurs. Charles P. Waite, Jr. is a managing member of OVMC VI LLC and shares voting and investment power of the shares held by OVP VI Entrepreneurs. The Reporting Person disclaims beneficial ownership of the shares reported herein, except to the extent of his proportionate pecuniary interest therein. Upon vesting, Reporting Person is entitled to receive one share of common stock for each restricted stock unit. The restricted stock units vest in three successive and equal annual installments measured from November 30, 2010, such that the restricted stock units will vest in full on the third anniversary of November 30, 2010, subject to the Reporting Person's continued employment or service relationship with the Issuer on each of the vesting dates. Such restricted stock units include a change of control provision such that all unvested awards will immediately vest and become exercisable in connection with a change of control of Issuer. /s/ Maureen Monahan, Attorney in Fact for Mr. Waite 2011-12-08