0000899243-17-010762.txt : 20170424 0000899243-17-010762.hdr.sgml : 20170424 20170424061532 ACCESSION NUMBER: 0000899243-17-010762 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170419 FILED AS OF DATE: 20170424 DATE AS OF CHANGE: 20170424 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: Anish Bhatnagar CENTRAL INDEX KEY: 0001614821 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36593 FILM NUMBER: 17777137 BUSINESS ADDRESS: STREET 1: 3 TWIN DOLPHIN DRIVE STREET 2: SUITE 160 CITY: REDWOOD CITY STATE: CA ZIP: 94065 BUSINESS PHONE: 650-213-8444 MAIL ADDRESS: STREET 1: 3 TWIN DOLPHIN DRIVE STREET 2: SUITE 160 CITY: REDWOOD CITY STATE: CA ZIP: 94065 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-04-19 0 0001484565 Capnia, Inc. CAPN 0001614821 Anish Bhatnagar 1235 RADIO ROAD, SUITE 110 REDWOOD CITY CA 94065 1 1 0 0 President and CEO Employee stock option (right to buy) 0.59 2017-04-19 4 A 0 1683942 0.00 A 2027-04-19 Common Stock 1683942 1683942 D One fourth (1/4) of the shares subject to the Option shall vest immediately on the Vesting Commencement Date (which is April 19, 2017), and one forty-eighth (1/48) of the remaining shares subject to the Option shall vest each month thereafter on the same day of the month as the Vesting Commencement Date (and if there is no corresponding day, on the last day of the month), such that all of the shares subject to the Option will have vested as of the fourth anniversary of the Vesting Commencement Date, subject to Participant continuing to be a Service Provider through each such date. /s/ Anish Bhatnagar 2017-04-20