SEC Form 4 · accession 0001209191-16-156476
Conatus Pharmaceuticals Inc. · CNAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven J Mento
Officer — President, CEO & Director · Director
Period of report
Dec 20, 2016
Accepted (ET)
Dec 22, 2016 · 4:04 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001383701
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Dec 20, 2016 | M | 36,363 | $1.24 | A | 36,363 | D | |
| Common Stock | Dec 20, 2016 | M | 5,051 | $0.99 | A | 41,414 | D | |
| Common StockF1 | holding | — | — | — | 385,669 | I | See footnote |
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) | $1.24 | Dec 20, 2016 | M | 36,363 | D | Mar 3, 2008 | Mar 2, 2018 | Common Stock | 36,363 | 0 | D |
| Stock Option (Right to Buy) | $0.99 | Dec 20, 2016 | M | 5,051 | D | Feb 17, 2011 | Feb 16, 2021 | Common Stock | 5,051 | 207,070 | D |
Explanation of responses
- F1Held by family trusts of which Dr. Mento is a trustee.