Statement of Changes in Beneficial Ownership (4)

Date : 08/01/2019 @ 9:15PM
Source : Edgar (US Regulatory)
Stock : Conatus Pharmaceuticals Inc (CNAT)
Quote : 0.3859  0.0 (0.00%) @ 2:02PM

Statement of Changes in Beneficial Ownership (4)

FORM 4
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5
                      
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

VANDERTIE MICHELLE L
2. Issuer Name and Ticker or Trading Symbol

Conatus Pharmaceuticals Inc. [ CNAT ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                      _____ 10% Owner
__ X __ Officer (give title below)      _____ Other (specify below)
Vice President, Finance
(Last)          (First)          (Middle)

C/O CONATUS PHARMACEUTICALS INC., 16745 W. BERNARDO DRIVE, SUITE 200
3. Date of Earliest Transaction (MM/DD/YYYY)

8/1/2019
(Street)

SAN DIEGO, CA 92127
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_ X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Trans. Date 3A. Deemed Execution Date, if any 4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option (Right to Buy)   $9.61   8/1/2019     D         15000      (1) 9/18/2023   Common Stock   15000     (2) 0   D    
Stock Option (Right to Buy)   $9.45   8/1/2019     D         15000      (1) 2/6/2024   Common Stock   15000     (3) 0   D    
Stock Option (Right to Buy)   $6.40   8/1/2019     D         15000      (1) 2/22/2025   Common Stock   15000     (4) 0   D    
Stock Option (Right to Buy)   $1.85   8/1/2019     D         15000      (5) 2/3/2026   Common Stock   15000     (6) 0   D    
Stock Option (Right to Buy)   $1.85   8/1/2019     D         3750      (1) 2/3/2026   Common Stock   3750     (7) 0   D    
Stock Option (Right to Buy)   $2.09   8/1/2019     D         20000      (8) 3/23/2026   Common Stock   20000     (9) 0   D    
Stock Option (Right to Buy)   $4.21   8/1/2019     D         23000      (10) 1/25/2027   Common Stock   23000     (11) 0   D    
Stock Option (Right to Buy)   $5.17   8/1/2019     D         16000      (12) 2/3/2028   Common Stock   16000     (13) 0   D    
Stock Option (Right to Buy)   $2.00   8/1/2019     D         50000      (14) 2/6/2029   Common Stock   50000     (15) 0   D    
Restricted Stock Units     (16) 8/1/2019     A      86375   (17)        (18)   (18) Common Stock   86375   $0.00   86375   D    

Explanation of Responses:
(1)  Immediately exercisable.
(2)  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.
(3)  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.
(4)  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.
(5)  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.
(6)  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.
(7)  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.
(8)  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.
(9)  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.
(10)  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.
(11)  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.
(12)  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.
(13)  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.
(14)  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.
(15)  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.
(16)  Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.
(17)  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.
(18)  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.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
VANDERTIE MICHELLE L
C/O CONATUS PHARMACEUTICALS INC.
16745 W. BERNARDO DRIVE, SUITE 200
SAN DIEGO, CA 92127


Vice President, Finance

Signatures
/s/ Michelle L. Vandertie 8/1/2019
** Signature of Reporting Person Date


Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.

Conatus Pharmaceuticals (NASDAQ:CNAT)
Historical Stock Chart

1 Year : From Sep 2018 to Sep 2019

Click Here for more Conatus Pharmaceuticals Charts.

Conatus Pharmaceuticals (NASDAQ:CNAT)
Intraday Stock Chart

Today : Tuesday 17 September 2019

Click Here for more Conatus Pharmaceuticals Charts.

Latest CNAT Messages

{{bbMessage.M_Alias}} {{bbMessage.MSG_Date}} {{bbMessage.HowLongAgo}} {{bbMessage.MSG_ID}} {{bbMessage.MSG_Subject}}

Loading Messages....


No posts yet, be the first! No {{symbol}} Message Board. Create One! See More Posts on {{symbol}} Message Board See More Message Board Posts


Your Recent History
LSE
GKP
Gulf Keyst..
LSE
QPP
Quindell
FTSE
UKX
FTSE 100
LSE
IOF
Iofina
FX
GBPUSD
UK Sterlin..
Stocks you've viewed will appear in this box, letting you easily return to quotes you've seen previously.

Register now to create your own custom streaming stock watchlist.


NYSE, AMEX, and ASX quotes are delayed by at least 20 minutes.
All other quotes are delayed by at least 15 minutes unless otherwise stated.