X0707 D LIVE 0001484565 Capnia, Inc. 1235 RADIO ROAD SUITE 110 REDWOOD CITY CA CALIFORNIA 94065 650-213-8444 DELAWARE None None Corporation true Ernest Mario 1235 Radio Road Suite 110 Redwood City CA CALIFORNIA 94065 Director Anish Bhatnagar 1235 Radio Road Suite 110 Redwood City CA CALIFORNIA 94065 Executive Officer Director Rajen Dalal 1235 Radio Road Suite 110 Redwood City CA CALIFORNIA 94065 Director Steinar Engelsen 1235 Radio Road Suite 110 Redwood City CA CALIFORNIA 94065 Director Edgar G. Engleman 1235 Radio Road Suite 110 Redwood City CA CALIFORNIA 94065 Director Stephen N. Kirnon 1235 Radio Road Suite 110 Redwood City CA CALIFORNIA 94065 Director William G. Harris 1235 Radio Road Suite 110 Redwood City CA CALIFORNIA 94065 Director David D. O'Toole 1235 Radio Road Suite 110 Redwood City CA CALIFORNIA 94065 Executive Officer Other Health Care Decline to Disclose 06b false 2016-07-05 false true true true false 0 Maxim Group LLC 120708 None None 405 Lexington Avenue New York NY NEW YORK 10174 NJ NEW JERSEY NY NEW YORK false 13780000 3151000 10629000 Sold Series B Convertible Preferred Stock and Placement Agent Warrants to purchase up to 120,000 Common Stock shares at a fixed per share exercise price of $1.75 false 3 61739 0 Compensation also includes warrants to purchase up to 120,000 Common Stock shares at an exercise price of $1.75, a fee of up to 4.5% of the total net amount raised, and up to $15,000 paid as legal expenses 0 false Capnia, Inc. /s/David D. O'Toole David D. O'Toole CFO 2016-07-05