0001209191-19-044014.txt : 20190801 0001209191-19-044014.hdr.sgml : 20190801 20190801161344 ACCESSION NUMBER: 0001209191-19-044014 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190801 FILED AS OF DATE: 20190801 DATE AS OF CHANGE: 20190801 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: VANDERTIE MICHELLE L CENTRAL INDEX KEY: 0001701690 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36003 FILM NUMBER: 19992834 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 2019-08-01 0 0001383701 Conatus Pharmaceuticals Inc. CNAT 0001701690 VANDERTIE MICHELLE L C/O CONATUS PHARMACEUTICALS INC. 16745 W. BERNARDO DRIVE, SUITE 200 SAN DIEGO CA 92127 0 1 0 0 Vice President, Finance Stock Option (Right to Buy) 9.61 2019-08-01 4 D 0 15000 D 2023-09-18 Common Stock 15000 0 D Stock Option (Right to Buy) 9.45 2019-08-01 4 D 0 15000 D 2024-02-06 Common Stock 15000 0 D Stock Option (Right to Buy) 6.40 2019-08-01 4 D 0 15000 D 2025-02-22 Common Stock 15000 0 D Stock Option (Right to Buy) 1.85 2019-08-01 4 D 0 15000 D 2026-02-03 Common Stock 15000 0 D Stock Option (Right to Buy) 1.85 2019-08-01 4 D 0 3750 D 2026-02-03 Common Stock 3750 0 D Stock Option (Right to Buy) 2.09 2019-08-01 4 D 0 20000 D 2026-03-23 Common Stock 20000 0 D Stock Option (Right to Buy) 4.21 2019-08-01 4 D 0 23000 D 2027-01-25 Common Stock 23000 0 D Stock Option (Right to Buy) 5.17 2019-08-01 4 D 0 16000 D 2028-02-03 Common Stock 16000 0 D Stock Option (Right to Buy) 2.00 2019-08-01 4 D 0 50000 D 2029-02-06 Common Stock 50000 0 D Restricted Stock Units 2019-08-01 4 A 0 86375 0.00 A Common Stock 86375 86375 D Immediately exercisable. On August 1, 2019, the Issuer canceled the option granted on September 19, 2013. In exchange for the canceled option, the Reporting Person received 7,500 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. On August 1, 2019, the Issuer canceled the option granted on February 7, 2014. In exchange for the canceled option, the Reporting Person received 7,500 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. On August 1, 2019, the Issuer canceled the option granted on February 23, 2015. In exchange for the canceled option, the Reporting Person received 7,500 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. The option was granted on February 4, 2016. 25% of the total number of shares of common stock subject to the option vested on February 4, 2017, and 1/48th of the total number of shares of common stock subject to the option vest monthly thereafter, subject to the Reporting Person's continued employment or service relationship with the Issuer on each such vesting date. On August 1, 2019, the Issuer canceled the option granted on February 4, 2016. In exchange for the canceled option, the Reporting Person received 7,500 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. On August 1, 2019, the Issuer canceled the option granted on February 4, 2016. In exchange for the canceled option, the Reporting Person received 1,875 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. The option was granted on March 24, 2016. 25% of the total number of shares of common stock subject to the option vested on March 24, 2017, 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. On August 1, 2019, the Issuer canceled the option granted on March 24, 2016. In exchange for the canceled option, the Reporting Person received 10,000 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. The option was granted on January 26, 2017. 25% of the total number of shares of common stock subject to the option vested on January 26, 2018, and 1/48th of the total number of shares of common stock subject to the option vest monthly thereafter, subject to the Reporting Person's continued employment or service relationship with the Issuer on each such vesting date. On August 1, 2019, the Issuer canceled the option granted on January 26, 2017. In exchange for the canceled option, the Reporting Person received 11,500 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. The option was granted on February 4, 2018. 25% of the total number of shares of common stock subject to the option vested on February 2, 2019, and 1/48th of the total number of shares of common stock subject to the option vest monthly thereafter, subject to the Reporting Person's continued employment or service relationship with the Issuer on each such vesting date. On August 1, 2019, the Issuer canceled the option granted on February 4, 2018. In exchange for the canceled option, the Reporting Person received 8,000 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. 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 7, 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. On August 1, 2019, the Issuer canceled the option granted on February 7, 2019. In exchange for the canceled option, the Reporting Person received 25,000 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. Represents 7,500 RSUs received in exchange for canceling the Reporting Person's option granted on 9/19/13; 7,500 RSUs received in exchange for canceling the Reporting Person's option granted on 2/7/14; 7,500 RSUs received in exchange for canceling the Reporting Person's option granted on 2/23/15; 7,500 RSUs received in exchange for canceling the Reporting Person's option granted on 2/4/16; 1,875 RSUs received in exchange for canceling the Reporting Person's option granted on 2/4/16; 10,000 RSUs received in exchange for canceling the Reporting Person's option granted on 3/24/16; 11,500 RSUs received in exchange for canceling the Reporting Person's option granted on 1/26/17; 8,000 RSUs received in exchange for canceling the Reporting Person's option granted on 2/4/18; and 25,000 RSUs received in exchange for canceling the Reporting Person's option granted on 2/7/19. The restricted stock units will vest, subject to the Reporting Person's continuous service to the Issuer through the vesting date, on the first anniversary of the grant date. In addition, the restricted stock units will vest upon a Change of Control, an employee's termination without Cause, or resignation for Good Reason, as such terms are defined in the Issuer's 2013 Incentive Award Plan. Upon any other termination of service of the Reporting Person, unvested restricted stock units will be forfeited. /s/ Michelle L. Vandertie 2019-08-01