0000899243-17-010283.txt : 20170413 0000899243-17-010283.hdr.sgml : 20170413 20170413212659 ACCESSION NUMBER: 0000899243-17-010283 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170407 FILED AS OF DATE: 20170413 DATE AS OF CHANGE: 20170413 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: Glasheen James Walter CENTRAL INDEX KEY: 0001532830 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36593 FILM NUMBER: 17761989 MAIL ADDRESS: STREET 1: TECHNOLOGY PARTNERS STREET 2: 100 SHORELINE HWY, SUITE 282-B CITY: MILL VALLEY STATE: CA ZIP: 94941 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-04-07 0 0001484565 Capnia, Inc. CAPN 0001532830 Glasheen James Walter 100 SHORELINE HWY, SUITE 282, BLDG B MILL VALLEY CA 94941 1 0 1 0 Common Stock 2017-04-07 4 A 0 2578 0.63 A 2578 D Common Stock 7050691 I See footnote Effective January 1, 2017, annual board and committee retainers payable to directors will be made in equivalent shares of the Issuer's common stock, on a quarterly basis. The number of shares issuable in lieu of cash retainers was determined using the closing price per share of Issuer common stock on April 7, 2017, or $0.63. Consists of shares held by Technology Partners Fund VII, L.P and Tehnology Partners Affiliates VII, L.P. or Technology Affiliates. James Glasheen is one of the managing members of Technology Partners and Technology Affiliates and has shared voting power over the shares of common stock beneficially owned by Technology Partners and Technology Affiliates. M r. Glasheen disclaims beneficial ownership of such securities, except to the extent, if any, of his pecuniary interest therein. /s/ David O'Toole, attorney in fact 2017-04-13