0000899243-17-012478.txt : 20170509 0000899243-17-012478.hdr.sgml : 20170509 20170509163325 ACCESSION NUMBER: 0000899243-17-012478 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170508 FILED AS OF DATE: 20170509 DATE AS OF CHANGE: 20170509 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: 1235 RADIO ROAD STREET 2: SUITE 110 CITY: REDWOOD CITY STATE: CA ZIP: 94065 BUSINESS PHONE: 650-213-8444 MAIL ADDRESS: STREET 1: 1235 RADIO ROAD STREET 2: SUITE 110 CITY: REDWOOD CITY STATE: CA ZIP: 94065 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SHAH MAHENDRA CENTRAL INDEX KEY: 0001255449 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36593 FILM NUMBER: 17826948 MAIL ADDRESS: STREET 1: 2250 HOLCOMBE BLVD CITY: HOUSTON STATE: TX ZIP: 77030 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-05-08 0 0001484565 Capnia, Inc. CAPN 0001255449 SHAH MAHENDRA C/O VIVO CAPITAL LLC 505 HAMILTON AVENUE, SUITE 207 PALO ALTO CA 94301 1 0 0 0 Employee stock option (right to buy) 0.72 2017-05-08 4 A 0 45139 0.00 A 2027-05-08 Common Stock 45139 45139 D One hundred percent (100%) of the shares subject to the Option shall vest on the one year anniversary on the Vesting Commencement Date (which is May 8, 2017) or the date of the 2018 Annual Shareholder Meeting, whichever is earlier. /s/ David O'Toole, Attorney-In-Fact 2017-05-08