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