0000899243-16-020061.txt : 20160516 0000899243-16-020061.hdr.sgml : 20160516 20160516160533 ACCESSION NUMBER: 0000899243-16-020061 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160512 FILED AS OF DATE: 20160516 DATE AS OF CHANGE: 20160516 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Capnia, Inc. CENTRAL INDEX KEY: 0001484565 STANDARD INDUSTRIAL CLASSIFICATION: ELECTROMEDICAL & ELECTROTHERAPEUTIC APPARATUS [3845] IRS NUMBER: 770523891 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1235 RADIO ROAD STREET 2: SUITE 110 CITY: REDWOOD CITY STATE: CA ZIP: 94065 BUSINESS PHONE: 650-213-8444 MAIL ADDRESS: STREET 1: 1235 RADIO ROAD STREET 2: SUITE 110 CITY: REDWOOD CITY STATE: CA ZIP: 94065 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: O'Toole David D CENTRAL INDEX KEY: 0001491140 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36593 FILM NUMBER: 161653673 MAIL ADDRESS: STREET 1: 1640 MARENGO STREET CITY: LOS ANGELES STATE: CA ZIP: 90033 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-05-12 0 0001484565 Capnia, Inc. CAPN 0001491140 O'Toole David D 1235 RADIO ROAD, SUITE 110 REDWOOD CITY CA 94065 0 1 0 0 See Remarks Common Stock 2016-05-12 4 P 0 5000 1.155 A 32750 D The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.13 to $1.18, inclusive. The reporting person undertakes to provide to Capnia, Inc., any security holder of Capnia, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (1) on this Form 4. Senior Vice President and Chief Financial Officer /s/ David O'Toole, Senior Vice President and Chief Financial Officer 2016-05-16