0001209191-14-068788.txt : 20141114
0001209191-14-068788.hdr.sgml : 20141114
20141114143635
ACCESSION NUMBER: 0001209191-14-068788
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20141112
FILED AS OF DATE: 20141114
DATE AS OF CHANGE: 20141114
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Capnia, Inc.
CENTRAL INDEX KEY: 0001484565
STANDARD INDUSTRIAL CLASSIFICATION: ELECTROMEDICAL & ELECTROTHERAPEUTIC APPARATUS [3845]
IRS NUMBER: 770523891
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 2445 FABER PLACE
STREET 2: SUITE 250
CITY: PALO ALTO
STATE: CA
ZIP: 94303
BUSINESS PHONE: 650-213-8444
MAIL ADDRESS:
STREET 1: 2445 FABER PLACE
STREET 2: SUITE 250
CITY: PALO ALTO
STATE: CA
ZIP: 94303
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Phelps Gina
CENTRAL INDEX KEY: 0001614974
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36593
FILM NUMBER: 141223053
MAIL ADDRESS:
STREET 1: 3 TWIN DOLPHIN DRIVE
STREET 2: SUITE 160
CITY: REDWOOD CITY
STATE: CA
ZIP: 94065
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2014-11-12
0
0001484565
Capnia, Inc.
CAPN
0001614974
Phelps Gina
3 TWIN DOLPHIN DRIVE, SUITE 160
REDWOOD CITY
CA
94065
0
1
0
0
Vice President of Sales
Employee Stock Option
7.139
2014-11-12
4
A
0
32443
0.00
A
2024-08-04
Common Stock
32443
32443
D
Beginning on August 4, 2014, twenty-five percent (25%) of the shares subject to the Option shall vest immediately and one forty-eighth (1/48th) of the remaining of shares subject to the Option shall vest monthly thereafter on the same day of the month as the date of grant, subject to Optionee's continuing to be a Service Provider on such dates; provided, however, that in the event that the Optionee's continuous status as a Service Provider is terminated by the Company without Cause (as defined below) within twelve months after a Change of Control (as defined below), 100% of the total number of shares that have not yet vested shall be immediately accelerate and vest immediately prior to such time.
(Continued from Footnote 1)"Cause" shall mean the Optionee's repeated failure to perform his or her assigned duties or responsibilities as a Service Provider (other than a failure resulting from the Optionee's disability) after notice thereof from the Company describing the Optionee's failure to perform such duties or responsibilities; (ii) the Optionee engaging in any act of dishonesty, fraud or misrepresentation; (iii) the Optionee's violation of any federal or state law or regulation applicable to the business of the Company or its affiliates; (iv) the Optionee's breach of any confidentiality agreement or invention assignment agreement between the Optionee and the Company (or any affiliate of the Company); or (v) the Optionee being convicted of, or entering a plea of nolo contendere to, any crime or committing any act of moral turpitude. "Change of Control" shall have the meaning set forth in the Post-IPO Plan.
/s/ David O'Toole, As Attorney-in-Fact
2014-11-14