UNITED STATES

 

 

SECURITIES AND EXCHANGE COMMISSION

 

 

Washington, D.C. 20549

 

 

 

 

SCHEDULE 13G

 

Under the Securities Exchange Act of 1934
(Amendment No. 9)*

 

Threshold Pharmaceuticals, Inc.

(Name of Issuer)

Common Stock

(Title of Class of Securities)

885807206

(CUSIP Number)

December 31, 2014

(Date of Event Which Requires Filing of this Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

o

Rule 13d-1(b)

o

Rule 13d-1(c)

x

Rule 13d-1(d)

 

*The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

 

The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 



 

CUSIP No. 885807206

 

 

1.

Names of Reporting Persons
Sutter Hill Ventures, a California Limited Partnership

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

x

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
California, USA

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
4,967,353*

 

6.

Shared Voting Power
-0-

 

7.

Sole Dispositive Power
4,967,353*

 

8.

Shared Dispositive Power
-0-

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
4,967,353

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  o

 

 

11.

Percent of Class Represented by Amount in Row (9)
7.9%

 

 

12.

Type of Reporting Person (See Instructions)
PN

 


* See Appendix A, Note 1.

 

2



 

CUSIP No. 885807206

 

 

1.

Names of Reporting Persons
David L. Anderson

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

x

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
USA

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
138,183*

 

6.

Shared Voting Power
4,967,353**

 

7.

Sole Dispositive Power
138,183*

 

8.

Shared Dispositive Power
4,967,353**

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
5,105,536

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  o

 

 

11.

Percent of Class Represented by Amount in Row (9)
8.1%

 

 

12.

Type of Reporting Person (See Instructions)
IN

 


*      See Appendix A, Note 3.

**          Comprised of shares (and shares of common stock issuable upon exercise of a warrant that is exercisable within 60 days after 12/31/14) owned by Sutter Hill Ventures, a California Limited Partnership. See Appendix A.

 

3



 

CUSIP No. 885807206

 

 

1.

Names of Reporting Persons
G. Leonard Baker, Jr.

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

x

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
USA

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
218,008*

 

6.

Shared Voting Power
4,967,353**

 

7.

Sole Dispositive Power
218,008*

 

8.

Shared Dispositive Power
4,967,353**

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
5,185,361

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  o

 

 

11.

Percent of Class Represented by Amount in Row (9)
8.2%

 

 

12.

Type of Reporting Person (See Instructions)
IN

 


*                 See Appendix A, Note 4.

**          Comprised of shares (and shares of common stock issuable upon exercise of a warrant that is exercisable within 60 days after 12/31/14) owned by Sutter Hill Ventures, a California Limited Partnership. See Appendix A.

 

4



 

CUSIP No. 885807206

 

 

1.

Names of Reporting Persons
William H. Younger, Jr.

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

x

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
USA

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
291,005*

 

6.

Shared Voting Power
4,967,353**

 

7.

Sole Dispositive Power
291,005*

 

8.

Shared Dispositive Power
4,967,353**

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
5,258,358

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  o

 

 

11.

Percent of Class Represented by Amount in Row (9)
8.3%

 

 

12.

Type of Reporting Person (See Instructions)
IN

 


*                 See Appendix A, Note 5.

**          Comprised of shares (and shares of common stock issuable upon exercise of a warrant that is exercisable within 60 days after 12/31/14) owned by Sutter Hill Ventures, a California Limited Partnership. See Appendix A.

 

5



 

CUSIP No. 885807206

 

 

1.

Names of Reporting Persons
Tench Coxe

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

x

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
USA

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
840,578*

 

6.

Shared Voting Power
4,967,353**

 

7.

Sole Dispositive Power
840,578*

 

8.

Shared Dispositive Power
4,967,353**

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
5,807,931

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  o

 

 

11.

Percent of Class Represented by Amount in Row (9)
9.2%

 

 

12.

Type of Reporting Person (See Instructions)
IN

 


*                 See Appendix A, Note 6.

**          Comprised of shares (and shares of common stock issuable upon exercise of a warrant that is exercisable within 60 days after 12/31/14) owned by Sutter Hill Ventures, a California Limited Partnership. See Appendix A.

 

6



 

CUSIP No. 885807206

 

 

1.

Names of Reporting Persons
James C. Gaither

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

x

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
USA

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
74,560*

 

6.

Shared Voting Power
4,967,353**

 

7.

Sole Dispositive Power
74,560*

 

8.

Shared Dispositive Power
4,967,353**

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
5,041,913

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  o

 

 

11.

Percent of Class Represented by Amount in Row (9)
8.0%

 

 

12.

Type of Reporting Person (See Instructions)
IN

 


*                 See Appendix A, Note 7.

**          Comprised of shares (and shares of common stock issuable upon exercise of a warrant that is exercisable within 60 days after 12/31/14) owned by Sutter Hill Ventures, a California Limited Partnership. See Appendix A.

 

7



 

CUSIP No. 885807206

 

 

1.

Names of Reporting Persons
James N. White

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

x

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
USA

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
283,066*

 

6.

Shared Voting Power
4,967,353**

 

7.

Sole Dispositive Power
283,066*

 

8.

Shared Dispositive Power
4,967,353**

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
5,250,419

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  o

 

 

11.

Percent of Class Represented by Amount in Row (9)
8.3%

 

 

12.

Type of Reporting Person (See Instructions)
IN

 


*                 See Appendix A, Note 8.

**          Comprised of shares (and shares of common stock issuable upon exercise of a warrant that is exercisable within 60 days after 12/31/14) owned by Sutter Hill Ventures, a California Limited Partnership. See Appendix A.

 

8



 

CUSIP No. 885807206

 

 

1.

Names of Reporting Persons
Jeffrey W. Bird

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

x

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
USA

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
363,253*

 

6.

Shared Voting Power
4,967,353**

 

7.

Sole Dispositive Power
363,253*

 

8.

Shared Dispositive Power
4,967,353**

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
5,330,606

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  o

 

 

11.

Percent of Class Represented by Amount in Row (9)
8.4%

 

 

12.

Type of Reporting Person (See Instructions)
IN

 


*                 See Appendix A, Note 9.

**          Comprised of shares (and shares of common stock issuable upon exercise of a warrant that is exercisable within 60 days after 12/31/14) owned by Sutter Hill Ventures, a California Limited Partnership. See Appendix A.

 

9



 

CUSIP No. 885807206

 

 

1.

Names of Reporting Persons
David E. Sweet

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

x

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
USA

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
53,883*

 

6.

Shared Voting Power
4,967,353**

 

7.

Sole Dispositive Power
53,883*

 

8.

Shared Dispositive Power
4,967,353**

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
5,021,236

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  o

 

 

11.

Percent of Class Represented by Amount in Row (9)
8.0%

 

 

12.

Type of Reporting Person (See Instructions)
IN

 


*                 See Appendix A, Note 10.

**          Comprised of shares (and shares of common stock issuable upon exercise of a warrant that is exercisable within 60 days after 12/31/14) owned by Sutter Hill Ventures, a California Limited Partnership. See Appendix A.

 

10



 

CUSIP No. 885807206

 

 

1.

Names of Reporting Persons
Andrew T. Sheehan

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

x

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
USA

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
82,275*

 

6.

Shared Voting Power
4,967,353**

 

7.

Sole Dispositive Power
82,275*

 

8.

Shared Dispositive Power
4,967,353**

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
5,049,628

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  o

 

 

11.

Percent of Class Represented by Amount in Row (9)
8.0%

 

 

12.

Type of Reporting Person (See Instructions)
IN

 


*                 See Appendix A, Note 11.

**          Comprised of shares (and shares of common stock issuable upon exercise of a warrant that is exercisable within 60 days after 12/31/14) owned by Sutter Hill Ventures, a California Limited Partnership. See Appendix A.

 

11



 

CUSIP No. 885807206

 

 

1.

Names of Reporting Persons
Michael L. Speiser

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

x

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
USA

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
12,519*

 

6.

Shared Voting Power
4,967,353**

 

7.

Sole Dispositive Power
12,519*

 

8.

Shared Dispositive Power
4,967,353**

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
4,979,872

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  o

 

 

11.

Percent of Class Represented by Amount in Row (9)
7.9%

 

 

12.

Type of Reporting Person (See Instructions)
IN

 


*                 See Appendix A, Note 12.

**          Comprised of shares (and shares of common stock issuable upon exercise of a warrant that is exercisable within 60 days after 12/31/14) owned by Sutter Hill Ventures, a California Limited Partnership. See Appendix A.

 

12



 

CUSIP No. 885807206

 

 

1.

Names of Reporting Persons
Stefan A. Dyckerhoff

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

x

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
German citizen  (U.S. permanent resident)

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
0

 

6.

Shared Voting Power
4,967,353**

 

7.

Sole Dispositive Power
0

 

8.

Shared Dispositive Power
4,967,353**

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
4,967,353

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  o

 

 

11.

Percent of Class Represented by Amount in Row (9)
7.9%

 

 

12.

Type of Reporting Person (See Instructions)
IN

 


**          Comprised of shares (and shares of common stock issuable upon exercise of a warrant that is exercisable within 60 days after 12/31/14) owned by Sutter Hill Ventures, a California Limited Partnership. See Appendix A.

 

13



 

CUSIP No. 885807206

 

 

1.

Names of Reporting Persons
Samuel J. Pullara III

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

x

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
USA

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
0

 

6.

Shared Voting Power
4,967,353**

 

7.

Sole Dispositive Power
0

 

8.

Shared Dispositive Power
4,967,353**

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
4,967,353

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  o

 

 

11.

Percent of Class Represented by Amount in Row (9)
7.9%

 

 

12.

Type of Reporting Person (See Instructions)
IN

 


**          Comprised of shares (and shares of common stock issuable upon exercise of a warrant that is exercisable within 60 days after 12/31/14) owned by Sutter Hill Ventures, a California Limited Partnership. See Appendix A.

 

14



 

Item 1.

 

(a)

Name of Issuer
Threshold Pharmaceuticals, Inc.

 

(b)

Address of Issuer’s Principal Executive Offices
170 Harbor Way, Suite 300, South San Francisco, CA 94080

 

Item 2.

 

(a)

Name of Person Filing
See Appendix A; Appendix A is hereby incorporated by reference

 

(b)

Address of Principal Business Office or, if none, Residence
See Appendix A

 

(c)

Citizenship
See Appendix A

 

(d)

Title of Class of Securities
Common Stock

 

(e)

CUSIP Number
885807206

 

Item 3.

If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:

 

(a)

o

Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).

 

(b)

o

Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).

 

(c)

o

Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).

 

(d)

o

Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).

 

(e)

o

An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);

 

(f)

o

An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);

 

(g)

o

A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G);

 

(h)

o

A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);

 

(i)

o

A church plan that is excluded from the definition of an investment company under section 3I(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);

 

(j)

o

Group, in accordance with §240.13d-1(b)(1)(ii)(J).

 

 

N/A

 

 

15



 

Item 4.

Ownership

Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.

 

(a)

Amount beneficially owned:   

See Appendix A, which is hereby incorporated by reference and related pages 2 to 14

 

(b)

Percent of class:   

See Appendix A, which is hereby incorporated by reference and related pages 2 to 14

 

(c)

Number of shares as to which the person has:

 

 

 

(i)

Sole power to vote or to direct the vote   

***

 

 

(ii)

Shared power to vote or to direct the vote    

***

 

 

(iii)

Sole power to dispose or to direct the disposition of   

***

 

 

(iv)

Shared power to dispose or to direct the disposition of    

***

 


*** See Appendix A, which is hereby incorporated by reference and related pages 2 to 14. Messrs. Anderson, Baker, Younger, Coxe, Gaither, White, Bird, Sweet, Sheehan, Speiser, Dyckerhoff and Pullara are Managing Directors of the General Partner of Sutter Hill Ventures, a California Limited Partnership, and as such, they share voting and dispositive power over the shares held by the partnership.

 

Item 5.

Ownership of Five Percent or Less of a Class

If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following   o.

N/A

Item 6.

Ownership of More than Five Percent on Behalf of Another Person

N/A

 

Item 7.

Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person

N/A

 

Item 8.

Identification and Classification of Members of the Group

See Appendix A

 

Item 9.

Notice of Dissolution of Group

N/A

 

16



 

Item 10.

Certification

N/A

 

Signature

 

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

 

 

2/11/2015

 

Date

 

 

 

Sutter Hill Ventures, A California Limited Partnership

 

 

 

/s/ Robert Yin

 

Robert Yin, Attorney-in-Fact for Jeffrey W. Bird, Managing Director of the General Partner

 

 

 

/s/ Robert Yin

 

Robert Yin, Attorney-in-Fact for David L. Anderson

 

 

 

/s/ Robert Yin

 

Robert Yin, Attorney-in-Fact for G. Leonard Baker, Jr.

 

 

 

/s/ Robert Yin

 

Robert Yin, Attorney-in-Fact for William H. Younger, Jr.

 

 

 

/s/ Robert Yin

 

Robert Yin, Attorney-in-Fact for Tench Coxe

 

 

 

/s/ Robert Yin

 

Robert Yin, Attorney-in-Fact for James C. Gaither

 

 

 

/s/ Robert Yin

 

Robert Yin, Attorney-in-Fact for James N. White

 

 

 

/s/ Robert Yin

 

Robert Yin, Attorney-in-Fact for Jeffrey W. Bird

 

 

 

/s/ Robert Yin

 

Robert Yin, Attorney-in-Fact for David E. Sweet

 

 

 

/s/ Robert Yin

 

Robert Yin, Attorney-in-Fact for Andrew T. Sheehan

 

 

 

/s/ Robert Yin

 

Robert Yin, Attorney-in-Fact for Michael L. Speiser

 

 

 

/s/ Robert Yin

 

Robert Yin, Attorney-in-Fact for Stefan A. Dyckerhoff

 

 

 

/s/ Robert Yin

 

Robert Yin, Attorney-in-Fact for Samuel J. Pullara III

 

17



 

APPENDIX A TO SCHEDULE 13G — THRESHOLD PHARMACEUTICALS, INC.

 

 

 

Aggregate Number of

 

 

 

 

 

 

 

Shares Beneficially Owned

 

 

 

% of

 

Name of Originator

 

Individual

 

 

 

Aggregate

 

 

 

Total Shares

 

 

 

 

 

 

 

 

 

 

 

 

 

Sutter Hill Ventures, a California Limited Partnership

 

4,967,353

 

Note 1

 

 

 

 

 

7.9

%

 

 

 

 

 

 

 

 

 

 

 

 

David L. Anderson

 

138,183

 

Note 3

 

 

 

 

 

0.2

%

 

 

 

 

 

 

5,105,536

 

Note 2

 

8.1

%

 

 

 

 

 

 

 

 

 

 

 

 

G. Leonard Baker, Jr.

 

218,008

 

Note 4

 

 

 

 

 

0.3

%

 

 

 

 

 

 

5,185,361

 

Note 2

 

8.2

%

 

 

 

 

 

 

 

 

 

 

 

 

William H. Younger, Jr.

 

291,005

 

Note 5

 

 

 

 

 

0.5

%

 

 

 

 

 

 

5,258,358

 

Note 2

 

8.3

%

 

 

 

 

 

 

 

 

 

 

 

 

Tench Coxe

 

840,578

 

Note 6

 

 

 

 

 

1.3

%

 

 

 

 

 

 

5,807,931

 

Note 2

 

9.2

%

 

 

 

 

 

 

 

 

 

 

 

 

James C. Gaither

 

74,560

 

Note 7

 

 

 

 

 

0.1

%

 

 

 

 

 

 

5,041,913

 

Note 2

 

8.0

%

 

 

 

 

 

 

 

 

 

 

 

 

James N. White

 

283,066

 

Note 8

 

 

 

 

 

0.4

%

 

 

 

 

 

 

5,250,419

 

Note 2

 

8.3

%

 

 

 

 

 

 

 

 

 

 

 

 

Jeffrey W. Bird

 

363,253

 

Note 9

 

 

 

 

 

0.6

%

 

 

 

 

 

 

5,330,606

 

Note 2

 

8.4

%

 

 

 

 

 

 

 

 

 

 

 

 

David E. Sweet

 

53,883

 

Note 10

 

 

 

 

 

0.1

%

 

 

 

 

 

 

5,021,236

 

Note 2

 

8.0

%

 

 

 

 

 

 

 

 

 

 

 

 

Andrew T. Sheehan

 

82,275

 

Note 11

 

 

 

 

 

0.1

%

 

 

 

 

 

 

5,049,628

 

Note 2

 

8.0

%

 

 

 

 

 

 

 

 

 

 

 

 

Michael L. Speiser

 

12,519

 

Note 12

 

 

 

 

 

0.0

%

 

 

 

 

 

 

4,979,872

 

Note 2

 

7.9

%

 

 

 

 

 

 

 

 

 

 

 

 

Stefan A. Dyckerhoff

 

0

 

 

 

 

 

 

 

0.0

%

 

 

 

 

 

 

4,967,353

 

Note 2

 

7.9

%

 

 

 

 

 

 

 

 

 

 

 

 

Samuel J. Pullara III

 

0

 

 

 

 

 

 

 

0.0

%

 

 

 

 

 

 

4,967,353

 

Note 2

 

7.9

%

 

The address for all of the above is:  755 Page Mill Road, Suite A-200, Palo Alto, CA 94304.

 

The partnerships are organized in California. The individuals are all U.S. citizens and residents with the exception of Mr. Dyckerhoff who is a German citizen and U.S. permanent resident.

 

None of the above has been convicted in any criminal proceedings nor have they been subject to judgments, decrees, or final orders enjoining future violations of Federal or State securities laws.

 

All of the parties are individuals or entities in the venture capital business.

 

18



 


Note 1:  Includes 251,955 shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/14.

 

Note 2:  Includes individual shares (and shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/14) plus all shares (and shares of common stock issuable upon exercise of a warrant that is exercisable within 60 days after 12/31/14) held by Sutter Hill Ventures, a California Limited Partnership of which the reporting person is a Managing Director of the General Partner.

 

Note 3:  Comprised of 16,375 shares (including 484 shares of common stock issuable upon exercise of a warrant that is exercisable within 60 days after 12/31/14) held in The Anderson Living Trust of which the reporting person is the trustee, 78,038 shares held by a retirement trust for the benefit of the reporting person and 43,770 shares (including 6,660 shares of common stock issuable upon exercise of a warrant that is exercisable within 60 days after 12/31/14) held by Anvest, L.P. of which the reporting person is the trustee of a trust which is the General Partner.

 

Note 4:  Comprised of 139,183 shares (including 7,022 shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/14) held in The Baker Revocable Trust of which the reporting person is a trustee and 78,825 shares (including 4,215 shares of common stock issuable upon exercise of a warrant that is exercisable within 60 days after 12/31/14) held by Saunders Holdings, L.P. of which the reporting person is a trustee of a trust which is the General Partner.

 

Note 5:  Comprised of 106,773 shares (including 17,498 shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/14) held in The William H. Younger, Jr. Revocable Trust of which the reporting person is the trustee, 112,480 shares held by a retirement trust for the benefit of the reporting person and 71,752 shares held by Yovest, L.P. of which the reporting person is the trustee of a trust which is the General Partner.

 

Note 6:  Comprised of 300,968 shares (including 6,088  shares of common stock issuable upon exercise of a warrant that is exercisable within 60 days after 12/31/14) held in The Coxe Revocable Trust of which the reporting person is a trustee, 182,828 shares held by a retirement trust for the benefit of the reporting person and 356,782 shares (including 36,706 shares of common stock issuable upon exercise of a warrant that is exercisable within 60 days after 12/31/14) held by Rooster Partners, LP of which the reporting person is a trustee of a trust which is the General Partner.

 

Note 7:  Comprised of 52,638  shares (including 3,037  shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/14) held in The Gaither Revocable Trust of which the reporting person is the trustee and 21,922  shares (including 2,111 shares of common stock issuable upon exercise of a warrant that is exercisable within 60 days after 12/31/14) held by Tallack Partners, L.P. of which the reporting person is the trustee of a trust which is the General Partner.

 

Note 8:  Comprised of 278,990 shares (including 14,321 shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/14) held in The White Revocable Trust of which the reporting person is a trustee and 4,076 shares held in a Roth IRA for the benefit of the reporting person.

 

Note 9:  Comprised of 257,334 shares (including 13,188 shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/14) held in the Jeffrey W. and Christina R. Bird Trust of which the reporting person is a trustee, 919 shares held in a Roth IRA for the benefit of the reporting person and 105,000 shares of director’s options that are fully vested and exercisable within 60 days after 12/31/14.

 

Note 10:  Comprised of 11,793 shares (including 481 shares of common stock issuable upon exercise of a warrant that is exercisable within 60 days after 12/31/14) held in The David and Robin Sweet Living Trust of which the reporting person is a trustee and 42,090 shares (including 2,295 shares of common stock issuable upon exercise of a warrant that is exercisable within 60 days after 12/31/14) held by a retirement trust for the benefit of the reporting person.

 

Note 11: Comprised of 82,275 shares (including 4,110 shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/14) held in the Sheehan 2003 Trust of which the reporting person is a trustee.

 

Note 12: Comprised of 12,519 shares (including 635 shares of common stock issuable upon exercise of a warrant that is exercisable within 60 days after 12/31/14) held in the Speiser Trust of which the reporting person is a trustee.

 

19


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