SEC Form 4 · accession 0001209191-16-096374
Conatus Pharmaceuticals Inc. · CNAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alfred P. Spada
Officer — EVP, R&D and CSO
Period of report
Feb 4, 2016
Accepted (ET)
Feb 8, 2016 · 4:19 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001383701
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F1 | $1.85 | Feb 4, 2016 | A | 109,375 | A | — | Feb 3, 2026 | Common Stock | 109,375 | 109,375 | D |
| Stock Option (Right to Buy)F2 | $1.85 | Feb 4, 2016 | A | 21,875 | A | — | Feb 3, 2026 | Common Stock | 21,875 | 21,875 | D |
Explanation of responses
- F1The option was granted on February 4, 2016. 25% of the total number of shares of common stock subject to the option will vest on February 4, 2017, and 1/48th of the total number of shares of common stock subject to the option will vest monthly thereafter, subject to the Reporting Person's continued employment or service relationship with the Issuer on each such vesting date.
- F2The Reporting Person was granted a performance based option on February 4, 2016 that will vest, subject to the Reporting Person's continued employment or service relationship with the Issuer through the applicable vesting date, upon the achievement of certain performance conditions, as approved by the Issuer's compensation committee.