0001209191-18-007562.txt : 20180205
0001209191-18-007562.hdr.sgml : 20180205
20180205170303
ACCESSION NUMBER: 0001209191-18-007562
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180204
FILED AS OF DATE: 20180205
DATE AS OF CHANGE: 20180205
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Smith Edward F III
CENTRAL INDEX KEY: 0001670699
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36003
FILM NUMBER: 18575070
MAIL ADDRESS:
STREET 1: C/O CONATUS PHARMACEUTICALS INC.
STREET 2: 16745 WEST BERNARDO DRIVE, SUITE 200
CITY: SAN DIEGO
STATE: CA
ZIP: 92127
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Conatus Pharmaceuticals Inc.
CENTRAL INDEX KEY: 0001383701
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 203183915
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 16745 WEST BERNARDO DRIVE
STREET 2: Suite 200
CITY: San Diego
STATE: CA
ZIP: 92127
BUSINESS PHONE: (858) 376-2600
MAIL ADDRESS:
STREET 1: 16745 WEST BERNARDO DRIVE
STREET 2: Suite 200
CITY: San Diego
STATE: CA
ZIP: 92127
FORMER COMPANY:
FORMER CONFORMED NAME: Conatus Pharmaceuticals Inc
DATE OF NAME CHANGE: 20061214
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2018-02-04
0
0001383701
Conatus Pharmaceuticals Inc.
CNAT
0001670699
Smith Edward F III
C/O CONATUS PHARMACEUTICALS INC.
16745 WEST BERNARDO DRIVE, SUITE 200
SAN DIEGO
CA
92127
0
1
0
0
SVP, Reg Affairs and QA
Common Stock
2017-11-14
5
A
0
E
4461
3.48
A
4461
D
Stock Option (Right to Buy)
5.17
2018-02-04
4
A
0
40000
0.00
A
2028-02-03
Common Stock
40000
40000
D
These shares were acquired under the Company's 2013 Employee Stock Purchase Plan in transactions that were exempt under both Rule 16b-3(d) and Rule 16b-3(c).
In accordance with the Company's 2013 Employee Stock Purchase Plan, these shares were purchased based on 85% of the closing price of the Issuer's common stock on November 14, 2017, which was the last trading day of the applicable offering period.
The option was granted on February 4, 2018. 25% of the total number of shares of common stock subject to the option will vest on February 2, 2019, 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.
/s/ Michelle L. Vandertie, Attorney-in-Fact for Edward F. Smith, III
2018-02-05