0001209191-19-008924.txt : 20190211 0001209191-19-008924.hdr.sgml : 20190211 20190211161931 ACCESSION NUMBER: 0001209191-19-008924 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190207 FILED AS OF DATE: 20190211 DATE AS OF CHANGE: 20190211 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RIPLEY DANIEL L. CENTRAL INDEX KEY: 0001696981 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36003 FILM NUMBER: 19585648 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 2019-02-07 0 0001383701 Conatus Pharmaceuticals Inc. CNAT 0001696981 RIPLEY DANIEL L. C/O CONATUS PHARMACEUTICALS INC. 16745 WEST BERNARDO DRIVE, SUITE 200 SAN DIEGO CA 92127 0 1 0 0 SVP, Bus Dev, P&A Mgmt Common Stock 2018-05-14 5 A 0 E 1290 3.31 A 30570 I See footnote. Common Stock 2018-11-14 5 A 0 E 1861 3.15 A 32431 I See footnote. Stock Option (Right to Buy) 2.00 2019-02-07 4 A 0 100000 0.00 A 2029-02-06 Common Stock 100000 100000 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 May 14, 2018, which was the last trading day of the applicable offering period. Held by family trust of which the Reporting Person is a trustee. Shares transferred from Reporting Person to family trust immediately following acquisition. 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 May 15, 2018, which was the first trading day of the applicable offering period. The option was granted on February 7, 2019. 25% of the total number of shares of common stock subject to the option will vest on February 6, 2020, 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 Daniel L. Ripley 2019-02-11