COMPLETE GENOMICS INC Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 230 rows in 2010. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2010-11-16: Reporting owner CASKEY C THOMAS; Form 4; Security Series D Preferred Stock; Transaction C Conversion of derivative security.
- 2010-11-16: Reporting owner CASKEY C THOMAS; Form 4; Security Series E Preferred Stock; Transaction C Conversion of derivative security.
- 2010-11-16: Reporting owner Enterprise Partners Management LLC; Form 4; Security Series D Preferred Stock; Transaction C Conversion of derivative security.
- 2010-11-16: Reporting owner Enterprise Partners Management LLC; Form 4; Security Series E Preferred Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2010-11-16 | CASKEY C THOMAS Director | 4 | Series D Preferred Stock Derivative · Direct | C Conversion of derivative security | −3,307 0 owned after | no price filed | 2010-11-16 | |
| 2010-11-16 | CASKEY C THOMAS Director | 4 | Series E Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,844 0 owned after | no price filed | 2010-11-16 | |
| 2010-11-16 | Enterprise Partners Management LLC 10% Owner | 4 | Series D Preferred Stock Derivative · Direct | C Conversion of derivative security | −66,138 0 owned after | no price filed | 2010-11-16 | |
| 2010-11-16 | Enterprise Partners Management LLC 10% Owner | 4 | Series E Preferred Stock Derivative · Direct | C Conversion of derivative security | −27,049 0 owned after | no price filed | 2010-11-16 | |
| 2010-11-16 | ENTERPRISE PARTNERS V L P 10% Owner | 4 | Series D Preferred Stock Derivative · Direct | C Conversion of derivative security | −176,737 0 owned after | no price filed | 2010-11-16 | |
| 2010-11-16 | ENTERPRISE PARTNERS V L P 10% Owner | 4 | Series E Preferred Stock Derivative · Direct | C Conversion of derivative security | −259,458 0 owned after | no price filed | 2010-11-16 | |
| 2010-11-16 | ENTERPRISE PARTNERS V L P 10% Owner | 4 | Warrant to Purchase Series D Preferred Stock Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −17,261 0 owned after | $7.56 exercise price | 2010-11-16 | |
| 2010-11-16 | ENTERPRISE PARTNERS V L P 10% Owner | 4 | Warrant to Purchase Series D Preferred Stock Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −8,378 0 owned after | $7.56 exercise price | 2010-11-16 | |
| 2010-11-16 | BARKAS ALEXANDER E Director, 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −601,248 0 owned after | no price filed | 2010-11-16 | |
| 2010-11-16 | BARKAS ALEXANDER E Director, 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −160,552 0 owned after | no price filed | 2010-11-16 | |
| 2010-11-16 | BARKAS ALEXANDER E Director, 10% Owner | 4 | Series D Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −674,426 0 owned after | no price filed | 2010-11-16 | |
| 2010-11-16 | BARKAS ALEXANDER E Director, 10% Owner | 4 | Series E Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −807,760 0 owned after | no price filed | 2010-11-16 | |
| 2010-11-16 | BARKAS ALEXANDER E Director, 10% Owner | 4 | Warrant to Purchase Series D Preferred Stock Derivative · Indirect · See Footnote | X Exercise of in-the-money or at-the-money derivative security | −29,343 0 owned after | $7.56 exercise price | 2010-11-16 | |
| 2010-11-16 | BARKAS ALEXANDER E Director, 10% Owner | 4 | Warrant to Purchase Series D Preferred Stock Derivative · Indirect · See Footnote | X Exercise of in-the-money or at-the-money derivative security | −31,299 0 owned after | $7.56 exercise price | 2010-11-16 | |
| 2010-11-16 | BARKAS ALEXANDER E Director, 10% Owner | 4 | Warrant to Purchase Series D Preferred Stock Derivative · Indirect · See Footnote | X Exercise of in-the-money or at-the-money derivative security | −10,240 0 owned after | $7.56 exercise price | 2010-11-16 | |
| 2010-11-16 | BARKAS ALEXANDER E Director, 10% Owner | 4 | Warrant to Purchase Series D Preferred Stock Derivative · Indirect · See Footnote | X Exercise of in-the-money or at-the-money derivative security | −990 0 owned after | $7.56 exercise price | 2010-11-16 | |
| 2010-11-16 | ENTERPRISE PARTNERS VI LP 10% Owner | 4 | Series A Preferred Stock Derivative · Direct | C Conversion of derivative security | −315,746 0 owned after | no price filed | 2010-11-16 | |
| 2010-11-16 | ENTERPRISE PARTNERS VI LP 10% Owner | 4 | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −257,677 0 owned after | no price filed | 2010-11-16 | |
| 2010-11-16 | ENTERPRISE PARTNERS VI LP 10% Owner | 4 | Series C Preferred Stock Derivative · Direct | C Conversion of derivative security | −177,084 0 owned after | no price filed | 2010-11-16 | |
| 2010-11-16 | ENTERPRISE PARTNERS VI LP 10% Owner | 4 | Series D Preferred Stock Derivative · Direct | C Conversion of derivative security | −488,789 0 owned after | no price filed | 2010-11-16 | |
| 2010-11-16 | ENTERPRISE PARTNERS VI LP 10% Owner | 4 | Series E Preferred Stock Derivative · Direct | C Conversion of derivative security | −547,094 0 owned after | no price filed | 2010-11-16 | |
| 2010-11-16 | ENTERPRISE PARTNERS VI LP 10% Owner | 4 | Warrant to Purchase Series B Preferred Stock Derivative · Direct | J Other acquisition or disposition (describe transaction) | −924 0 owned after | $11.64 exercise price | 2010-11-16 | |
| 2010-11-16 | ENTERPRISE PARTNERS VI LP 10% Owner | 4 | Warrant to Purchase Series B Preferred Stock Derivative · Direct | J Other acquisition or disposition (describe transaction) | −242 0 owned after | $11.64 exercise price | 2010-11-16 | |
| 2010-11-16 | ENTERPRISE PARTNERS VI LP 10% Owner | 4 | Warrant to Purchase Series D Preferred Stock Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −32,364 0 owned after | $7.56 exercise price | 2010-11-16 | |
| 2010-11-16 | ENTERPRISE PARTNERS VI LP 10% Owner | 4 | Warrant to Purchase Series D Preferred Stock Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −17,261 0 owned after | $7.56 exercise price | 2010-11-16 | |
| 2010-11-16 | ENTERPRISE PARTNERS VI LP 10% Owner | 4 | Warrant to Purchase Series D Preferred Stock Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −2,958 0 owned after | $7.56 exercise price | 2010-11-16 | |
| 2010-11-16 | ENTERPRISE PARTNERS VI LP 10% Owner | 4 | Warrant to Purchase Series D Preferred Stock Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −1,096 0 owned after | $7.56 exercise price | 2010-11-16 | |
| 2010-11-16 | ORBIMED ADVISORS LLC 10% Owner | 4 | Series D Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −2,252,898 0 owned after | no price filed | 2010-11-16 | |
| 2010-11-16 | ORBIMED ADVISORS LLC 10% Owner | 4 | Series D Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −21,456 0 owned after | no price filed | 2010-11-16 | |
| 2010-11-16 | ORBIMED ADVISORS LLC 10% Owner | 4 | Series E Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −1,267,070 0 owned after | no price filed | 2010-11-16 | |
| 2010-11-16 | ORBIMED ADVISORS LLC 10% Owner | 4 | Series E Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −12,068 0 owned after | no price filed | 2010-11-16 | |
| 2010-11-16 | WALL ROBERT T Director | 4 | Series E Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −50,000 0 owned after | no price filed | 2010-11-16 | |
| 2010-11-16 | HIGHLAND CAPITAL MANAGEMENT LP | DONDERO JAMES D | Strand Advisors, Inc. 10% Owner | 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −465,596 0 owned after | no price filed | 2010-11-16 | |
| 2010-11-16 | HIGHLAND CAPITAL MANAGEMENT LP | DONDERO JAMES D | Strand Advisors, Inc. 10% Owner | 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −362,120 0 owned after | no price filed | 2010-11-16 | |
| 2010-11-16 | HIGHLAND CAPITAL MANAGEMENT LP | DONDERO JAMES D | Strand Advisors, Inc. 10% Owner | 10% Owner | 10% Owner | 4 | Series D Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −535,696 0 owned after | no price filed | 2010-11-16 | |
| 2010-11-16 | HIGHLAND CAPITAL MANAGEMENT LP | DONDERO JAMES D | Strand Advisors, Inc. 10% Owner | 10% Owner | 10% Owner | 4 | Series D Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −52,969 0 owned after | no price filed | 2010-11-16 | |
| 2010-11-16 | HIGHLAND CAPITAL MANAGEMENT LP | DONDERO JAMES D | Strand Advisors, Inc. 10% Owner | 10% Owner | 10% Owner | 4 | Series E Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −563,018 0 owned after | no price filed | 2010-11-16 | |
| 2010-11-16 | HIGHLAND CAPITAL MANAGEMENT LP | DONDERO JAMES D | Strand Advisors, Inc. 10% Owner | 10% Owner | 10% Owner | 4 | Series E Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −233,402 0 owned after | no price filed | 2010-11-16 | |
| 2010-11-16 | HIGHLAND CAPITAL MANAGEMENT LP | DONDERO JAMES D | Strand Advisors, Inc. 10% Owner | 10% Owner | 10% Owner | 4 | Warrant to Purchase Series D Preferred Stock Derivative · Indirect · See Footnotes | X Exercise of in-the-money or at-the-money derivative security | −11,746 0 owned after | $7.56 exercise price | 2010-11-16 | |
| 2010-11-16 | HIGHLAND CAPITAL MANAGEMENT LP | DONDERO JAMES D | Strand Advisors, Inc. 10% Owner | 10% Owner | 10% Owner | 4 | Warrant to Purchase Series D Preferred Stock Derivative · Indirect · See Footnotes | X Exercise of in-the-money or at-the-money derivative security | −12,529 0 owned after | $7.56 exercise price | 2010-11-16 | |
| 2010-11-16 | HIGHLAND CAPITAL MANAGEMENT LP | DONDERO JAMES D | Strand Advisors, Inc. 10% Owner | 10% Owner | 10% Owner | 4 | Warrant to Purchase Series D Preferred Stock Derivative · Indirect · See Footnotes | X Exercise of in-the-money or at-the-money derivative security | −20,876 0 owned after | $7.56 exercise price | 2010-11-16 | |
| 2010-11-16 | HIGHLAND CAPITAL MANAGEMENT LP | DONDERO JAMES D | Strand Advisors, Inc. 10% Owner | 10% Owner | 10% Owner | 4 | Warrant to Purchase Series D Preferred Stock Derivative · Indirect · See Footnotes | X Exercise of in-the-money or at-the-money derivative security | −906 0 owned after | $7.56 exercise price | 2010-11-16 | |
| 2010-11-16 | WAITE CHARLES P JR Director, 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −309,433 0 owned after | no price filed | 2010-11-16 | |
| 2010-11-16 | WAITE CHARLES P JR Director, 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −6,313 0 owned after | no price filed | 2010-11-16 | |
| 2010-11-16 | WAITE CHARLES P JR Director, 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −252,521 0 owned after | no price filed | 2010-11-16 | |
| 2010-11-16 | WAITE CHARLES P JR Director, 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −5,150 0 owned after | no price filed | 2010-11-16 | |
| 2010-11-16 | WAITE CHARLES P JR Director, 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −173,548 0 owned after | no price filed | 2010-11-16 | |
| 2010-11-16 | WAITE CHARLES P JR Director, 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −3,535 0 owned after | no price filed | 2010-11-16 | |
| 2010-11-16 | WAITE CHARLES P JR Director, 10% Owner | 4 | Series D Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −722,185 0 owned after | no price filed | 2010-11-16 | |
| 2010-11-16 | WAITE CHARLES P JR Director, 10% Owner | 4 | Series D Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −9,477 0 owned after | no price filed | 2010-11-16 | |
| 2010-11-16 | WAITE CHARLES P JR Director, 10% Owner | 4 | Series E Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −828,829 0 owned after | no price filed | 2010-11-16 | |
| 2010-11-16 | WAITE CHARLES P JR Director, 10% Owner | 4 | Series E Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −4,767 0 owned after | no price filed | 2010-11-16 | |
| 2010-11-16 | WAITE CHARLES P JR Director, 10% Owner | 4 | Warrant to Purchase Series B Preferred Stock Derivative · Indirect · See Footnote | J Other acquisition or disposition (describe transaction) | −906 0 owned after | $11.64 exercise price | 2010-11-16 | |
| 2010-11-16 | WAITE CHARLES P JR Director, 10% Owner | 4 | Warrant to Purchase Series B Preferred Stock Derivative · Indirect · See Footnote | J Other acquisition or disposition (describe transaction) | −17 0 owned after | $11.64 exercise price | 2010-11-16 | |
| 2010-11-16 | WAITE CHARLES P JR Director, 10% Owner | 4 | Warrant to Purchase Series B Preferred Stock Derivative · Indirect · See Footnote | J Other acquisition or disposition (describe transaction) | −237 0 owned after | $11.64 exercise price | 2010-11-16 | |
| 2010-11-16 | WAITE CHARLES P JR Director, 10% Owner | 4 | Warrant to Purchase Series D Preferred Stock Derivative · Indirect · See Footnote | X Exercise of in-the-money or at-the-money derivative security | −31,717 0 owned after | $7.56 exercise price | 2010-11-16 | |
| 2010-11-16 | WAITE CHARLES P JR Director, 10% Owner | 4 | Warrant to Purchase Series D Preferred Stock Derivative · Indirect · See Footnote | X Exercise of in-the-money or at-the-money derivative security | −647 0 owned after | $7.56 exercise price | 2010-11-16 | |
| 2010-11-16 | WAITE CHARLES P JR Director, 10% Owner | 4 | Warrant to Purchase Series D Preferred Stock Derivative · Indirect · See Footnote | X Exercise of in-the-money or at-the-money derivative security | −33,832 0 owned after | $7.56 exercise price | 2010-11-16 | |
| 2010-11-16 | WAITE CHARLES P JR Director, 10% Owner | 4 | Warrant to Purchase Series D Preferred Stock Derivative · Indirect · See Footnote | X Exercise of in-the-money or at-the-money derivative security | −690 0 owned after | $7.56 exercise price | 2010-11-16 | |
| 2010-11-16 | WAITE CHARLES P JR Director, 10% Owner | 4 | Warrant to Purchase Series D Preferred Stock Derivative · Indirect · See Footnote | X Exercise of in-the-money or at-the-money derivative security | −11,258 0 owned after | $7.56 exercise price | 2010-11-16 | |
| 2010-11-16 | WAITE CHARLES P JR Director, 10% Owner | 4 | Warrant to Purchase Series D Preferred Stock Derivative · Indirect · See Footnote | X Exercise of in-the-money or at-the-money derivative security | −79 0 owned after | $7.56 exercise price | 2010-11-16 | |
| 2010-11-16 | WAITE CHARLES P JR Director, 10% Owner | 4 | Warrant to Purchase Series D Preferred Stock Derivative · Indirect · See Footnote | X Exercise of in-the-money or at-the-money derivative security | −1,088 0 owned after | $7.56 exercise price | 2010-11-16 | |
| 2010-11-16 | WAITE CHARLES P JR Director, 10% Owner | 4 | Warrant to Purchase Series D Preferred Stock Derivative · Indirect · See Footnote | X Exercise of in-the-money or at-the-money derivative security | −7 0 owned after | $7.56 exercise price | 2010-11-16 | |
| 2010-11-16 | ESSEX WOODLANDS HEALTH VENTURES FUND VIII-A LP | ESSEX WOODLANDS HEALTH VENTURES FUND VIII LP | ESSEX WOODLANDS HEALTH VENTURES FUND VIII-B LP 10% Owner | 10% Owner | 10% Owner | 4 | Series D Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −2,061,134 0 owned after | no price filed | 2010-11-16 | |
| 2010-11-16 | ESSEX WOODLANDS HEALTH VENTURES FUND VIII-A LP | ESSEX WOODLANDS HEALTH VENTURES FUND VIII LP | ESSEX WOODLANDS HEALTH VENTURES FUND VIII-B LP 10% Owner | 10% Owner | 10% Owner | 4 | Series D Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −148,608 0 owned after | no price filed | 2010-11-16 | |
| 2010-11-16 | ESSEX WOODLANDS HEALTH VENTURES FUND VIII-A LP | ESSEX WOODLANDS HEALTH VENTURES FUND VIII LP | ESSEX WOODLANDS HEALTH VENTURES FUND VIII-B LP 10% Owner | 10% Owner | 10% Owner | 4 | Series D Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −64,612 0 owned after | no price filed | 2010-11-16 | |
| 2010-11-16 | ESSEX WOODLANDS HEALTH VENTURES FUND VIII-A LP | ESSEX WOODLANDS HEALTH VENTURES FUND VIII LP | ESSEX WOODLANDS HEALTH VENTURES FUND VIII-B LP 10% Owner | 10% Owner | 10% Owner | 4 | Series E Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −1,159,218 0 owned after | no price filed | 2010-11-16 | |
| 2010-11-16 | Prospect Management Co. III, L.L.C. | Prospect Venture Partners III L P 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −601,248 0 owned after | no price filed | 2010-11-16 | |
| 2010-11-16 | Prospect Management Co. III, L.L.C. | Prospect Venture Partners III L P 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −160,552 0 owned after | no price filed | 2010-11-16 | |
| 2010-11-16 | Prospect Management Co. III, L.L.C. | Prospect Venture Partners III L P 10% Owner | 10% Owner | 4 | Series D Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −674,426 0 owned after | no price filed | 2010-11-16 | |
| 2010-11-16 | Prospect Management Co. III, L.L.C. | Prospect Venture Partners III L P 10% Owner | 10% Owner | 4 | Series E Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −807,760 0 owned after | no price filed | 2010-11-16 | |
| 2010-11-16 | Prospect Management Co. III, L.L.C. | Prospect Venture Partners III L P 10% Owner | 10% Owner | 4 | Warrant to Purchase Series D Preferred Stock Derivative · Indirect · See Footnote | X Exercise of in-the-money or at-the-money derivative security | −29,343 0 owned after | $7.56 exercise price | 2010-11-16 | |
| 2010-11-16 | Prospect Management Co. III, L.L.C. | Prospect Venture Partners III L P 10% Owner | 10% Owner | 4 | Warrant to Purchase Series D Preferred Stock Derivative · Indirect · See Footnote | X Exercise of in-the-money or at-the-money derivative security | −31,299 0 owned after | $7.56 exercise price | 2010-11-16 | |
| 2010-11-16 | Prospect Management Co. III, L.L.C. | Prospect Venture Partners III L P 10% Owner | 10% Owner | 4 | Warrant to Purchase Series D Preferred Stock Derivative · Indirect · See Footnote | X Exercise of in-the-money or at-the-money derivative security | −10,240 0 owned after | $7.56 exercise price | 2010-11-16 | |
| 2010-11-16 | Prospect Management Co. III, L.L.C. | Prospect Venture Partners III L P 10% Owner | 10% Owner | 4 | Warrant to Purchase Series D Preferred Stock Derivative · Indirect · See Footnote | X Exercise of in-the-money or at-the-money derivative security | −990 0 owned after | $7.56 exercise price | 2010-11-16 | |
| 2010-11-16 | SENYEI ANDREW E Director, 10% Owner | 4 | Warrant to Purchase Series D Preferred Stock Derivative · Indirect · See Footnote | X Exercise of in-the-money or at-the-money derivative security | −17,261 0 owned after | $7.56 exercise price | 2010-11-16 | |
| 2010-11-16 | SENYEI ANDREW E Director, 10% Owner | 4 | Warrant to Purchase Series D Preferred Stock Derivative · Indirect · See Footnote | X Exercise of in-the-money or at-the-money derivative security | −2,958 0 owned after | $7.56 exercise price | 2010-11-16 | |
| 2010-11-16 | SENYEI ANDREW E Director, 10% Owner | 4 | Warrant to Purchase Series D Preferred Stock Derivative · Indirect · See Footnote | X Exercise of in-the-money or at-the-money derivative security | −8,378 0 owned after | $7.56 exercise price | 2010-11-16 | |
| 2010-11-16 | SENYEI ANDREW E Director, 10% Owner | 4 | Warrant to Purchase Series D Preferred Stock Derivative · Indirect · See Footnote | X Exercise of in-the-money or at-the-money derivative security | −1,096 0 owned after | $7.56 exercise price | 2010-11-16 | |
| 2010-11-16 | SENYEI ANDREW E Director, 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −315,746 0 owned after | no price filed | 2010-11-16 | |
| 2010-11-16 | SENYEI ANDREW E Director, 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −257,677 0 owned after | no price filed | 2010-11-16 | |
| 2010-11-16 | SENYEI ANDREW E Director, 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −177,084 0 owned after | no price filed | 2010-11-16 | |
| 2010-11-16 | SENYEI ANDREW E Director, 10% Owner | 4 | Series D Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −488,789 0 owned after | no price filed | 2010-11-16 | |
| 2010-11-16 | SENYEI ANDREW E Director, 10% Owner | 4 | Series D Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −66,138 0 owned after | no price filed | 2010-11-16 | |
| 2010-11-16 | SENYEI ANDREW E Director, 10% Owner | 4 | Series D Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −176,737 0 owned after | no price filed | 2010-11-16 | |
| 2010-11-16 | SENYEI ANDREW E Director, 10% Owner | 4 | Series E Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −547,094 0 owned after | no price filed | 2010-11-16 | |
| 2010-11-16 | SENYEI ANDREW E Director, 10% Owner | 4 | Series E Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −27,049 0 owned after | no price filed | 2010-11-16 | |
| 2010-11-16 | SENYEI ANDREW E Director, 10% Owner | 4 | Series E Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −259,458 0 owned after | no price filed | 2010-11-16 | |
| 2010-11-16 | SENYEI ANDREW E Director, 10% Owner | 4 | Warrant to Purchase Series B Preferred Stock Derivative · Indirect · See Footnote | J Other acquisition or disposition (describe transaction) | −924 0 owned after | $11.64 exercise price | 2010-11-16 | |
| 2010-11-16 | SENYEI ANDREW E Director, 10% Owner | 4 | Warrant to Purchase Series B Preferred Stock Derivative · Indirect · See Footnote | J Other acquisition or disposition (describe transaction) | −242 0 owned after | $11.64 exercise price | 2010-11-16 | |
| 2010-11-16 | SENYEI ANDREW E Director, 10% Owner | 4 | Warrant to Purchase Series D Preferred Stock Derivative · Indirect · See Footnote | X Exercise of in-the-money or at-the-money derivative security | −32,364 0 owned after | $7.56 exercise price | 2010-11-16 | |
| 2010-11-16 | SENYEI ANDREW E Director, 10% Owner | 4 | Warrant to Purchase Series D Preferred Stock Derivative · Indirect · See Footnote | X Exercise of in-the-money or at-the-money derivative security | −17,261 0 owned after | $7.56 exercise price | 2010-11-16 | |
| 2010-11-16 | OVP VENTURE PARTNERS VI LP | OVP VI ENTREPRENEURS FUND LP 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Direct · (m) | C Conversion of derivative security | −309,433 0 owned after | no price filed | 2010-11-16 | |
| 2010-11-16 | OVP VENTURE PARTNERS VI LP | OVP VI ENTREPRENEURS FUND LP 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −6,313 0 owned after | no price filed | 2010-11-16 | |
| 2010-11-16 | OVP VENTURE PARTNERS VI LP | OVP VI ENTREPRENEURS FUND LP 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Direct · (m) | C Conversion of derivative security | −252,521 0 owned after | no price filed | 2010-11-16 | |
| 2010-11-16 | OVP VENTURE PARTNERS VI LP | OVP VI ENTREPRENEURS FUND LP 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −5,150 0 owned after | no price filed | 2010-11-16 | |
| 2010-11-16 | OVP VENTURE PARTNERS VI LP | OVP VI ENTREPRENEURS FUND LP 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Direct · (m) | C Conversion of derivative security | −173,548 0 owned after | no price filed | 2010-11-16 | |
| 2010-11-16 | OVP VENTURE PARTNERS VI LP | OVP VI ENTREPRENEURS FUND LP 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −3,535 0 owned after | no price filed | 2010-11-16 | |
| 2010-11-16 | OVP VENTURE PARTNERS VI LP | OVP VI ENTREPRENEURS FUND LP 10% Owner | 10% Owner | 4 | Series D Preferred Stock Derivative · Direct · (m) | C Conversion of derivative security | −722,185 0 owned after | no price filed | 2010-11-16 | |
| 2010-11-16 | OVP VENTURE PARTNERS VI LP | OVP VI ENTREPRENEURS FUND LP 10% Owner | 10% Owner | 4 | Series D Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −9,477 0 owned after | no price filed | 2010-11-16 |