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