Clovis Oncology, Inc. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 222 rows in 2011. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2011-11-21: Reporting owner KLINGENSTEIN PAUL H; Form 4; Security Series A-1 Preferred Stock; Transaction C Conversion of derivative security.
- 2011-11-21: Reporting owner KLINGENSTEIN PAUL H; Form 4; Security Series A-1 Preferred Stock; Transaction C Conversion of derivative security.
- 2011-11-21: Reporting owner KLINGENSTEIN PAUL H; Form 4; Security Series A-2 Preferred Stock; Transaction C Conversion of derivative security.
- 2011-11-21: Reporting owner KLINGENSTEIN PAUL H; Form 4; Security Series A-2 Preferred Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2011-11-21 | KLINGENSTEIN PAUL H Director | 4 | Series A-1 Preferred Stock Derivative · Indirect · By Aberdare Ventures IV, L.P. | C Conversion of derivative security | −507,119 0 owned after | no price filed | 2012-03-22 | |
| 2011-11-21 | KLINGENSTEIN PAUL H Director | 4 | Series A-1 Preferred Stock Derivative · Indirect · By Aberdare Partners IV, L.P. | C Conversion of derivative security | −10,122 0 owned after | no price filed | 2012-03-22 | |
| 2011-11-21 | KLINGENSTEIN PAUL H Director | 4 | Series A-2 Preferred Stock Derivative · Indirect · By Aberdare Ventures IV, L.P. | C Conversion of derivative security | −507,119 0 owned after | no price filed | 2012-03-22 | |
| 2011-11-21 | KLINGENSTEIN PAUL H Director | 4 | Series A-2 Preferred Stock Derivative · Indirect · By Aberdare Partners IV, L.P. | C Conversion of derivative security | −10,122 0 owned after | no price filed | 2012-03-22 | |
| 2011-11-21 | KLINGENSTEIN PAUL H Director | 4 | Series B Preferred Stock Derivative · Indirect · By Aberdare Ventures IV, L.P. | C Conversion of derivative security | −1,097,661 0 owned after | no price filed | 2012-03-22 | |
| 2011-11-21 | KLINGENSTEIN PAUL H Director | 4 | Series B Preferred Stock Derivative · Indirect · By Aberdare Partners IV, L.P. | C Conversion of derivative security | −21,909 0 owned after | no price filed | 2012-03-22 | |
| 2011-11-21 | Weller Harry R 10% Owner | 4 | Series A-1 Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −1,186,897 0 owned after | no price filed | 2011-11-22 | |
| 2011-11-21 | Weller Harry R 10% Owner | 4 | Series A-2 Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −1,206,897 0 owned after | no price filed | 2011-11-22 | |
| 2011-11-21 | Weller Harry R 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −2,612,330 0 owned after | no price filed | 2011-11-22 | |
| 2011-11-21 | Viswanathan Ravi 10% Owner | 4 | Series A-1 Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −1,186,897 0 owned after | no price filed | 2011-11-22 | |
| 2011-11-21 | Viswanathan Ravi 10% Owner | 4 | Series A-2 Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −1,206,897 0 owned after | no price filed | 2011-11-22 | |
| 2011-11-21 | Viswanathan Ravi 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −2,612,330 0 owned after | no price filed | 2011-11-22 | |
| 2011-11-21 | SANDELL SCOTT D 10% Owner | 4 | Series A-1 Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −1,186,897 0 owned after | no price filed | 2011-11-22 | |
| 2011-11-21 | SANDELL SCOTT D 10% Owner | 4 | Series A-2 Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −1,206,897 0 owned after | no price filed | 2011-11-22 | |
| 2011-11-21 | SANDELL SCOTT D 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −2,612,330 0 owned after | no price filed | 2011-11-22 | |
| 2011-11-21 | MOTT DAVID M 10% Owner | 4 | Series A-1 Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −1,186,897 0 owned after | no price filed | 2011-11-22 | |
| 2011-11-21 | MOTT DAVID M 10% Owner | 4 | Series A-2 Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −1,206,897 0 owned after | no price filed | 2011-11-22 | |
| 2011-11-21 | MOTT DAVID M 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −2,612,330 0 owned after | no price filed | 2011-11-22 | |
| 2011-11-21 | KRAMLICH C RICHARD 10% Owner | 4 | Series A-1 Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −1,186,897 0 owned after | no price filed | 2011-11-22 | |
| 2011-11-21 | KRAMLICH C RICHARD 10% Owner | 4 | Series A-2 Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −1,206,897 0 owned after | no price filed | 2011-11-22 | |
| 2011-11-21 | KRAMLICH C RICHARD 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −2,612,330 0 owned after | no price filed | 2011-11-22 | |
| 2011-11-21 | KOLLURI KRISHNA KITTU 10% Owner | 4 | Series A-1 Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −1,186,897 0 owned after | no price filed | 2011-11-22 | |
| 2011-11-21 | KOLLURI KRISHNA KITTU 10% Owner | 4 | Series A-2 Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −1,206,897 0 owned after | no price filed | 2011-11-22 | |
| 2011-11-21 | KOLLURI KRISHNA KITTU 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −2,612,330 0 owned after | no price filed | 2011-11-22 | |
| 2011-11-21 | KERINS PATRICK J 10% Owner | 4 | Series A-1 Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −1,186,897 0 owned after | no price filed | 2011-11-22 | |
| 2011-11-21 | KERINS PATRICK J 10% Owner | 4 | Series A-2 Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −1,206,897 0 owned after | no price filed | 2011-11-22 | |
| 2011-11-21 | KERINS PATRICK J 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −2,612,330 0 owned after | no price filed | 2011-11-22 | |
| 2011-11-21 | DRANT RYAN D 10% Owner | 4 | Series A-1 Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −1,186,897 0 owned after | no price filed | 2011-11-22 | |
| 2011-11-21 | DRANT RYAN D 10% Owner | 4 | Series A-2 Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −1,206,897 0 owned after | no price filed | 2011-11-22 | |
| 2011-11-21 | DRANT RYAN D 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −2,612,330 0 owned after | no price filed | 2011-11-22 | |
| 2011-11-21 | BASKETT FOREST 10% Owner | 4 | Series A-1 Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −1,186,897 0 owned after | no price filed | 2011-11-22 | |
| 2011-11-21 | BASKETT FOREST 10% Owner | 4 | Series A-2 Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −1,206,897 0 owned after | no price filed | 2011-11-22 | |
| 2011-11-21 | BASKETT FOREST 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −2,612,330 0 owned after | no price filed | 2011-11-22 | |
| 2011-11-21 | BARRETT M JAMES Director, 10% Owner | 4 | Series A-1 Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −1,186,897 0 owned after | no price filed | 2011-11-22 | |
| 2011-11-21 | BARRETT M JAMES Director, 10% Owner | 4 | Series A-2 Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −1,206,897 0 owned after | no price filed | 2011-11-22 | |
| 2011-11-21 | BARRETT M JAMES Director, 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −2,612,330 0 owned after | no price filed | 2011-11-22 | |
| 2011-11-21 | BARRIS PETER J 10% Owner | 4 | Series A-1 Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −1,186,897 0 owned after | no price filed | 2011-11-22 | |
| 2011-11-21 | BARRIS PETER J 10% Owner | 4 | Series A-2 Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −1,206,897 0 owned after | no price filed | 2011-11-22 | |
| 2011-11-21 | BARRIS PETER J 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −2,612,330 0 owned after | no price filed | 2011-11-22 | |
| 2011-11-21 | NEA 13 GP, Ltd | NEW ENTERPRISE ASSOCIATES 13 LP | NEA Partners 13, Limited Partnership 10% Owner | 10% Owner | 10% Owner | 4 | Series A-1 Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,186,897 0 owned after | no price filed | 2011-11-22 | |
| 2011-11-21 | NEA 13 GP, Ltd | NEW ENTERPRISE ASSOCIATES 13 LP | NEA Partners 13, Limited Partnership 10% Owner | 10% Owner | 10% Owner | 4 | Series A-2 Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,206,897 0 owned after | no price filed | 2011-11-22 | |
| 2011-11-21 | NEA 13 GP, Ltd | NEW ENTERPRISE ASSOCIATES 13 LP | NEA Partners 13, Limited Partnership 10% Owner | 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −2,612,330 0 owned after | no price filed | 2011-11-22 | |
| 2011-11-21 | MAHAFFY PATRICK J Director, Officer (President and CEO) | 4 | Series A-1 Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −51,724 0 owned after | $0.00 | 2011-11-21 | |
| 2011-11-21 | MAHAFFY PATRICK J Director, Officer (President and CEO) | 4 | Series A-2 Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −51,724 0 owned after | $0.00 | 2011-11-21 | |
| 2011-11-21 | MAHAFFY PATRICK J Director, Officer (President and CEO) | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −111,957 0 owned after | $0.00 | 2011-11-21 | |
| 2011-11-21 | DP VII ASSOCIATES LP 10% Owner | 4 | Series A-1 Preferred Stock Derivative · Direct | C Conversion of derivative security | −20,240 0 owned after | $0.00 | 2011-11-21 | |
| 2011-11-21 | DP VII ASSOCIATES LP 10% Owner | 4 | Series A-2 Preferred Stock Derivative · Direct | C Conversion of derivative security | −20,240 0 owned after | $0.00 | 2011-11-21 | |
| 2011-11-21 | DP VII ASSOCIATES LP 10% Owner | 4 | Series B Preferred Stok Derivative · Direct | C Conversion of derivative security | −43,809 0 owned after | $0.00 | 2011-11-21 | |
| 2011-11-21 | VITULLO NICOLE 10% Owner | 4 | Series A-1 Preferred Stock Derivative · Indirect · By Domain Partners VII, L.P. | C Conversion of derivative security | −1,186,657 0 owned after | $0.00 | 2011-11-21 | |
| 2011-11-21 | VITULLO NICOLE 10% Owner | 4 | Series A-2 Preferred Stock Derivative · Indirect · By Domain Partners VII, L.P. | C Conversion of derivative security | −1,186,657 0 owned after | $0.00 | 2011-11-21 | |
| 2011-11-21 | VITULLO NICOLE 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · By Domain Partners VII, L.P. | C Conversion of derivative security | −2,568,521 0 owned after | $0.00 | 2011-11-21 | |
| 2011-11-21 | VITULLO NICOLE 10% Owner | 4 | Series A-1 Preferred Stock Derivative · Indirect · By DP VII Associates, L.P. | C Conversion of derivative security | −20,240 0 owned after | $0.00 | 2011-11-21 | |
| 2011-11-21 | VITULLO NICOLE 10% Owner | 4 | Series A-2 Preferred Stock Derivative · Indirect · By DP VII Associates, L.P. | C Conversion of derivative security | −43,809 0 owned after | $0.00 | 2011-11-21 | |
| 2011-11-21 | VITULLO NICOLE 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · By DP VII Associates, L.P. | C Conversion of derivative security | 0 owned after | $0.00 | 2011-11-21 | |
| 2011-11-21 | TREU JESSE I 10% Owner | 4 | Series A-1 Preferred Stock Derivative · Indirect · By Domain Partners VII, L.P. | C Conversion of derivative security | −1,186,657 0 owned after | $0.00 | 2011-11-21 | |
| 2011-11-21 | TREU JESSE I 10% Owner | 4 | Series A-2 Preferred Stock Derivative · Indirect · By Domain Partners VII, L.P. | C Conversion of derivative security | −1,186,657 0 owned after | $0.00 | 2011-11-21 | |
| 2011-11-21 | TREU JESSE I 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · By Domain Partners VII, L.P. | C Conversion of derivative security | −2,568,521 0 owned after | $0.00 | 2011-11-21 | |
| 2011-11-21 | TREU JESSE I 10% Owner | 4 | Series A-1 Preferred Stock Derivative · Indirect · By DP VII Associates, L.P. | C Conversion of derivative security | −20,240 0 owned after | $0.00 | 2011-11-21 | |
| 2011-11-21 | TREU JESSE I 10% Owner | 4 | Series A-2 Preferred Stock Derivative · Indirect · By DP VII Associates, L.P. | C Conversion of derivative security | −43,809 0 owned after | $0.00 | 2011-11-21 | |
| 2011-11-21 | TREU JESSE I 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · By DP VII Associates, L.P. | C Conversion of derivative security | 0 owned after | $0.00 | 2011-11-21 | |
| 2011-11-21 | SCHOEMAKER KATHLEEN K 10% Owner | 4 | Series A-1 Preferred Stock Derivative · Indirect · By Domain Partners VII, L.P. | C Conversion of derivative security | −1,186,657 0 owned after | $0.00 | 2011-11-21 | |
| 2011-11-21 | SCHOEMAKER KATHLEEN K 10% Owner | 4 | Series A-2 Preferred Stock Derivative · Indirect · By Domain Partners VII, L.P. | C Conversion of derivative security | −1,186,657 0 owned after | $0.00 | 2011-11-21 | |
| 2011-11-21 | SCHOEMAKER KATHLEEN K 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · By Domain Partners VII, L.P. | C Conversion of derivative security | −2,568,521 0 owned after | $0.00 | 2011-11-21 | |
| 2011-11-21 | SCHOEMAKER KATHLEEN K 10% Owner | 4 | Series A-1 Preferred Stock Derivative · Indirect · By DP VII Associates, L.P. | C Conversion of derivative security | −20,240 0 owned after | $0.00 | 2011-11-21 | |
| 2011-11-21 | SCHOEMAKER KATHLEEN K 10% Owner | 4 | Series A-2 Preferred Stock Derivative · Indirect · By DP VII Associates, L.P. | C Conversion of derivative security | −43,809 0 owned after | $0.00 | 2011-11-21 | |
| 2011-11-21 | SCHOEMAKER KATHLEEN K 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · By DP VII Associates, L.P. | C Conversion of derivative security | 0 owned after | $0.00 | 2011-11-21 | |
| 2011-11-21 | Halak Brian K 10% Owner | 4 | Series A-1 Preferred Stock Derivative · Indirect · By Domain Partners VII, L.P. | C Conversion of derivative security | −1,186,657 0 owned after | $0.00 | 2011-11-21 | |
| 2011-11-21 | Halak Brian K 10% Owner | 4 | Series A-2 Preferred Stock Derivative · Indirect · By Domain Partners VII, L.P. | C Conversion of derivative security | −1,186,657 0 owned after | $0.00 | 2011-11-21 | |
| 2011-11-21 | Halak Brian K 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · By Domain Partners VII, L.P. | C Conversion of derivative security | −2,568,521 0 owned after | $0.00 | 2011-11-21 | |
| 2011-11-21 | Halak Brian K 10% Owner | 4 | Series A-1 Preferred Stock Derivative · Indirect · By DP VII Associates, L.P. | C Conversion of derivative security | −20,240 0 owned after | $0.00 | 2011-11-21 | |
| 2011-11-21 | Halak Brian K 10% Owner | 4 | Series A-2 Preferred Stock Derivative · Indirect · By DP VII Associates, L.P. | C Conversion of derivative security | −43,809 0 owned after | $0.00 | 2011-11-21 | |
| 2011-11-21 | Halak Brian K 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · By DP VII Associates, L.P. | C Conversion of derivative security | 0 owned after | $0.00 | 2011-11-21 | |
| 2011-11-21 | DOVEY BRIAN H 10% Owner | 4 | Series A-1 Preferred Stock Derivative · Indirect · By Domain Partners VII, L.P. | C Conversion of derivative security | −1,186,657 0 owned after | $0.00 | 2011-11-21 | |
| 2011-11-21 | DOVEY BRIAN H 10% Owner | 4 | Series A-2 Preferred Stock Derivative · Indirect · By Domain Partners VII, L.P. | C Conversion of derivative security | −1,186,657 0 owned after | $0.00 | 2011-11-21 | |
| 2011-11-21 | DOVEY BRIAN H 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · By Domain Partners VII, L.P. | C Conversion of derivative security | −2,568,521 0 owned after | $0.00 | 2011-11-21 | |
| 2011-11-21 | DOVEY BRIAN H 10% Owner | 4 | Series A-1 Preferred Stock Derivative · Indirect · By DP VII Associates, L.P. | C Conversion of derivative security | −20,240 0 owned after | $0.00 | 2011-11-21 | |
| 2011-11-21 | DOVEY BRIAN H 10% Owner | 4 | Series A-2 Preferred Stock Derivative · Indirect · By DP VII Associates, L.P. | C Conversion of derivative security | −43,809 0 owned after | $0.00 | 2011-11-21 | |
| 2011-11-21 | DOVEY BRIAN H 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · By DP VII Associates, L.P. | C Conversion of derivative security | 0 owned after | $0.00 | 2011-11-21 | |
| 2011-11-21 | DOMAIN PARTERS VII L P 10% Owner | 4 | Series A-1 Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,186,657 0 owned after | $0.00 | 2011-11-21 | |
| 2011-11-21 | DOMAIN PARTERS VII L P 10% Owner | 4 | Series A-2 Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,186,657 0 owned after | $0.00 | 2011-11-21 | |
| 2011-11-21 | DOMAIN PARTERS VII L P 10% Owner | 4 | Series B Preferred Stok Derivative · Direct | C Conversion of derivative security | −2,568,521 0 owned after | $0.00 | 2011-11-21 | |
| 2011-11-21 | BLAIR JAMES C Director, 10% Owner | 4 | Series A-1 Preferred Stock Derivative · Indirect · By Domain Partners VII, L.P. | C Conversion of derivative security | −1,186,657 0 owned after | $0.00 | 2011-11-21 | |
| 2011-11-21 | BLAIR JAMES C Director, 10% Owner | 4 | Series A-2 Preferred Stock Derivative · Indirect · By Domain Partners VII, L.P. | C Conversion of derivative security | −1,186,657 0 owned after | $0.00 | 2011-11-21 | |
| 2011-11-21 | BLAIR JAMES C Director, 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · By Domain Partners VII, L.P. | C Conversion of derivative security | −2,568,521 0 owned after | $0.00 | 2011-11-21 | |
| 2011-11-21 | BLAIR JAMES C Director, 10% Owner | 4 | Series A-1 Preferred Stock Derivative · Indirect · By DP VII Associates, L.P. | C Conversion of derivative security | −20,240 0 owned after | $0.00 | 2011-11-21 | |
| 2011-11-21 | BLAIR JAMES C Director, 10% Owner | 4 | Series A-2 Preferred Stock Derivative · Indirect · By DP VII Associates, L.P. | C Conversion of derivative security | −43,809 0 owned after | $0.00 | 2011-11-21 | |
| 2011-11-21 | BLAIR JAMES C Director, 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · By DP VII Associates, L.P. | C Conversion of derivative security | 0 owned after | $0.00 | 2011-11-21 | |
| 2011-11-21 | McKinley Edward J Director | 4 | Series A-1 Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −103,448 0 owned after | $0.00 | 2011-11-21 | |
| 2011-11-21 | McKinley Edward J Director | 4 | Series A-2 Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −103,448 0 owned after | $0.00 | 2011-11-21 | |
| 2011-11-21 | McKinley Edward J Director | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −223,914 0 owned after | $0.00 | 2011-11-21 | |
| 2011-11-21 | IVERS-READ GILLIAN C Officer (See Remarks) | 4 | Series A-1 Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −6,897 0 owned after | $0.00 | 2011-11-21 | |
| 2011-11-21 | IVERS-READ GILLIAN C Officer (See Remarks) | 4 | Series A-2 Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −6,897 0 owned after | $0.00 | 2011-11-21 | |
| 2011-11-21 | IVERS-READ GILLIAN C Officer (See Remarks) | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −14,928 0 owned after | $0.00 | 2011-11-21 | |
| 2011-11-21 | SPICKSCHEN THORLEF Director | 4 | Series A-1 Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −17,241 0 owned after | $0.00 | 2011-11-21 | |
| 2011-11-21 | SPICKSCHEN THORLEF Director | 4 | Series A-2 Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −17,241 0 owned after | $0.00 | 2011-11-21 | |
| 2011-11-21 | SPICKSCHEN THORLEF Director | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −37,319 0 owned after | $0.00 | 2011-11-21 | |
| 2011-11-21 | MAST ERLE T Officer (Executive VP and CFO) | 4 | Series A-1 Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −6,897 0 owned after | $0.00 | 2011-11-21 | |
| 2011-11-21 | MAST ERLE T Officer (Executive VP and CFO) | 4 | Series A-2 Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −6,897 0 owned after | $0.00 | 2011-11-21 | |
| 2011-11-21 | MAST ERLE T Officer (Executive VP and CFO) | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −14,928 0 owned after | $0.00 | 2011-11-21 | |
| 2011-11-21 | Allen Andrew R Officer (See Remarks) | 4 | Series A-1 Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −10,345 0 owned after | $0.00 | 2011-11-21 |