COMPLETE GENOMICS INC Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 64 rows, 64 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2013-03-18: Reporting owner OVP VENTURE PARTNERS VI LP; Form 4; Security Warrant to purchase Common Stock; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2013-03-18: Reporting owner OVP VENTURE PARTNERS VI LP; Form 4; Security Warrant to purchase Common Stock; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2013-03-18: Reporting owner OVP VENTURE PARTNERS VI LP; Form 4; Security Warrant to purchase Common Stock; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2013-03-18: Reporting owner OVP VENTURE PARTNERS VI LP; Form 4; Security Warrant to purchase Common Stock; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2013-03-18 | OVP VENTURE PARTNERS VI LP 10% Owner | 4 | Warrant to purchase Common Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,282 0 owned after | $2.82 | 2013-03-18 | |
| 2013-03-18 | OVP VENTURE PARTNERS VI LP 10% Owner | 4 | Warrant to purchase Common Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −135,939 0 owned after | $2.82 | 2013-03-18 | |
| 2013-03-18 | OVP VENTURE PARTNERS VI LP 10% Owner | 4 | Warrant to purchase Common Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −885 0 owned after | $2.85 | 2013-03-18 | |
| 2013-03-18 | OVP VENTURE PARTNERS VI LP 10% Owner | 4 | Warrant to purchase Common Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −52,735 0 owned after | $2.85 | 2013-03-18 | |
| 2013-03-18 | WAITE CHARLES P JR Director | 4 | Warrant to Purchase Common Stock Derivative · Indirect · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −135,939 0 owned after | $2.82 | 2013-03-18 | |
| 2013-03-18 | WAITE CHARLES P JR Director | 4 | Warrant to Purchase Common Stock Derivative · Indirect · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −52,735 0 owned after | $2.85 | 2013-03-18 | |
| 2013-03-18 | WAITE CHARLES P JR Director | 4 | Warrant to Purchase Common Stock Derivative · Indirect · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,282 0 owned after | $2.82 | 2013-03-18 | |
| 2013-03-18 | WAITE CHARLES P JR Director | 4 | Warrant to Purchase Common Stock Derivative · Indirect · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −885 0 owned after | $2.85 | 2013-03-18 | |
| 2013-03-18 | CASKEY C THOMAS Director | 4 | Warrant to Purchase Common Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −247 0 owned after | $2.83 | 2013-03-18 | |
| 2013-03-18 | CASKEY C THOMAS Director | 4 | Warrant to Purchase Common Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −5 0 owned after | $2.86 | 2013-03-18 | |
| 2010-11-16 | ENTERPRISE PARTNERS V L P 10% Owner | 4 | Warrant to Purchase Common Stock Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −138,794 0 owned after | $1.50 exercise price | 2010-11-16 | |
| 2010-11-16 | ENTERPRISE PARTNERS VI LP 10% Owner | 4 | Warrant to Purchase Common Stock Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −308,930 0 owned after | $1.50 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 Common Stock Derivative · Indirect · See Footnotes | X Exercise of in-the-money or at-the-money derivative security | −329,638 0 owned after | $1.50 exercise price | 2010-11-16 | |
| 2010-11-16 | WAITE CHARLES P JR Director, 10% Owner | 4 | Warrant to Purchase Common Stock Derivative · Indirect · See Footnote | X Exercise of in-the-money or at-the-money derivative security | −444,591 0 owned after | $1.50 exercise price | 2010-11-16 | |
| 2010-11-16 | WAITE CHARLES P JR Director, 10% Owner | 4 | Warrant to Purchase Common Stock Derivative · Indirect · See Footnote | X Exercise of in-the-money or at-the-money derivative security | −3,134 0 owned after | $1.50 exercise price | 2010-11-16 | |
| 2010-11-16 | SENYEI ANDREW E Director, 10% Owner | 4 | Warrant to Purchase Common Stock Derivative · Indirect · See Footnote | X Exercise of in-the-money or at-the-money derivative security | −308,930 0 owned after | $1.50 exercise price | 2010-11-16 | |
| 2010-11-16 | SENYEI ANDREW E Director, 10% Owner | 4 | Warrant to Purchase Common Stock Derivative · Indirect · See Footnote | X Exercise of in-the-money or at-the-money derivative security | −138,794 0 owned after | $1.50 exercise price | 2010-11-16 | |
| 2010-11-16 | OVP VENTURE PARTNERS VI LP | OVP VI ENTREPRENEURS FUND LP 10% Owner | 10% Owner | 4 | Warrant to Purchase Common Stock Derivative · Direct · (m) | X Exercise of in-the-money or at-the-money derivative security | −444,591 0 owned after | $1.50 exercise price | 2010-11-16 | |
| 2010-11-16 | OVP VENTURE PARTNERS VI LP | OVP VI ENTREPRENEURS FUND LP 10% Owner | 10% Owner | 4 | Warrant to Purchase Common Stock Derivative · Indirect · (m) | X Exercise of in-the-money or at-the-money derivative security | −3,134 0 owned after | $1.50 exercise price | 2010-11-16 | |
| 2010-11-10 holding as of filing | Prospect Venture Partners III L P | Prospect Management Co. III, L.L.C. 10% Owner | 10% Owner | 3 | Warrant to Purchase Common Stock Derivative · Indirect · See Footnote | Holding | $1.50 exercise price | 2010-11-10 | ||
| 2010-11-10 holding as of filing | Prospect Venture Partners III L P | Prospect Management Co. III, L.L.C. 10% Owner | 10% Owner | 3 | Warrant to Purchase Common Stock Derivative · Indirect · See Footnote | Holding | $1.50 exercise price | 2010-11-10 | ||
| 2010-11-10 holding as of filing | BARKAS ALEXANDER E Director, 10% Owner | 3 | Warrant to Purchase Common Stock Derivative · Indirect · See Footnote | Holding | $1.50 exercise price | 2010-11-10 | ||
| 2010-11-10 holding as of filing | BARKAS ALEXANDER E Director, 10% Owner | 3 | Warrant to Purchase Common Stock Derivative · Indirect · See Footnote | Holding | $1.50 exercise price | 2010-11-10 | ||
| 2010-11-10 holding as of filing | CASKEY C THOMAS Director | 3 | Warrant to Purchase Common Stock Derivative · Direct | Holding | $1.50 exercise price | 2010-11-10 | ||
| 2010-11-10 holding as of filing | CASKEY C THOMAS Director | 3 | Warrant to Purchase Common Stock Derivative · Direct | Holding | $1.50 exercise price | 2010-11-10 | ||
| 2010-11-10 holding as of filing | WAITE CHARLES P JR Director, 10% Owner | 3 | Warrant to Purchase Common Stock Derivative · Indirect · See Footnote | Holding | $1.50 exercise price | 2010-11-10 | ||
| 2010-11-10 holding as of filing | WAITE CHARLES P JR Director, 10% Owner | 3 | Warrant to Purchase Common Stock Derivative · Indirect · See Footnote | Holding | $1.50 exercise price | 2010-11-10 | ||
| 2010-11-10 holding as of filing | WAITE CHARLES P JR Director, 10% Owner | 3 | Warrant to Purchase Common Stock Derivative · Indirect · See Footnote | Holding | $1.50 exercise price | 2010-11-10 | ||
| 2010-11-10 holding as of filing | WAITE CHARLES P JR Director, 10% Owner | 3 | Warrant to Purchase Common Stock Derivative · Indirect · See Footnote | Holding | $1.50 exercise price | 2010-11-10 | ||
| 2010-11-10 holding as of filing | WAITE CHARLES P JR Director, 10% Owner | 3 | Warrant to Purchase Common Stock Derivative · Indirect · See Footnote | Holding | $1.50 exercise price | 2010-11-10 | ||
| 2010-11-10 holding as of filing | WAITE CHARLES P JR Director, 10% Owner | 3 | Warrant to Purchase Common Stock Derivative · Indirect · See Footnote | Holding | $1.50 exercise price | 2010-11-10 | ||
| 2010-11-10 holding as of filing | ORBIMED ADVISORS LLC | ISALY SAMUEL D | OrbiMed Capital GP III LLC 10% Owner | 10% Owner | 10% Owner | 3 | Warrant to Purchase Common Stock Derivative · Indirect · See Footnotes | Holding | $1.50 exercise price | 2010-11-10 | ||
| 2010-11-10 holding as of filing | ORBIMED ADVISORS LLC | ISALY SAMUEL D | OrbiMed Capital GP III LLC 10% Owner | 10% Owner | 10% Owner | 3 | Warrant to Purchase Common Stock Derivative · Indirect · See Footnotes | Holding | $1.50 exercise price | 2010-11-10 | ||
| 2010-11-10 holding as of filing | ORBIMED ADVISORS LLC | ISALY SAMUEL D | OrbiMed Capital GP III LLC 10% Owner | 10% Owner | 10% Owner | 3 | Warrant to Purchase Common Stock Derivative · Indirect · See Footnotes | Holding | $1.50 exercise price | 2010-11-10 | ||
| 2010-11-10 holding as of filing | ORBIMED ADVISORS LLC | ISALY SAMUEL D | OrbiMed Capital GP III LLC 10% Owner | 10% Owner | 10% Owner | 3 | Warrant to Purchase Common Stock Derivative · Indirect · See Footnotes | Holding | $1.50 exercise price | 2010-11-10 | ||
| 2010-11-10 holding as of filing | ESSEX WOODLANDS HEALTH VENTURES FUND VIII LP | ESSEX WOODLANDS HEALTH VENTURES FUND VIII-A LP | ESSEX WOODLANDS HEALTH VENTURES FUND VIII-B LP 10% Owner | 10% Owner | 10% Owner | 3 | Warrant to Purchase Common Stock Derivative · Direct · (m) | Holding | $1.50 exercise price | 2010-11-10 | ||
| 2010-11-10 holding as of filing | ESSEX WOODLANDS HEALTH VENTURES FUND VIII LP | ESSEX WOODLANDS HEALTH VENTURES FUND VIII-A LP | ESSEX WOODLANDS HEALTH VENTURES FUND VIII-B LP 10% Owner | 10% Owner | 10% Owner | 3 | Warrant to Purchase Common Stock Derivative · Indirect · (m) | Holding | $1.50 exercise price | 2010-11-10 | ||
| 2010-11-10 holding as of filing | ESSEX WOODLANDS HEALTH VENTURES FUND VIII LP | ESSEX WOODLANDS HEALTH VENTURES FUND VIII-A LP | ESSEX WOODLANDS HEALTH VENTURES FUND VIII-B LP 10% Owner | 10% Owner | 10% Owner | 3 | Warrant to Purchase Common Stock Derivative · Indirect · (m) | Holding | $1.50 exercise price | 2010-11-10 | ||
| 2010-11-10 holding as of filing | ESSEX WOODLANDS HEALTH VENTURES FUND VIII LP | ESSEX WOODLANDS HEALTH VENTURES FUND VIII-A LP | ESSEX WOODLANDS HEALTH VENTURES FUND VIII-B LP 10% Owner | 10% Owner | 10% Owner | 3 | Warrant to Purchase Common Stock Derivative · Direct · (m) | Holding | $1.50 exercise price | 2010-11-10 | ||
| 2010-11-10 holding as of filing | ESSEX WOODLANDS HEALTH VENTURES FUND VIII LP | ESSEX WOODLANDS HEALTH VENTURES FUND VIII-A LP | ESSEX WOODLANDS HEALTH VENTURES FUND VIII-B LP 10% Owner | 10% Owner | 10% Owner | 3 | Warrant to Purchase Common Stock Derivative · Indirect · (m) | Holding | $1.50 exercise price | 2010-11-10 | ||
| 2010-11-10 holding as of filing | ESSEX WOODLANDS HEALTH VENTURES FUND VIII LP | ESSEX WOODLANDS HEALTH VENTURES FUND VIII-A LP | ESSEX WOODLANDS HEALTH VENTURES FUND VIII-B LP 10% Owner | 10% Owner | 10% Owner | 3 | Warrant to Purchase Common Stock Derivative · Indirect · (m) | Holding | $1.50 exercise price | 2010-11-10 | ||
| 2010-11-10 holding as of filing | DONDERO JAMES D | HIGHLAND CAPITAL MANAGEMENT LP | Strand Advisors, Inc. 10% Owner | 10% Owner | 10% Owner | 3 | Warrant to Purchase Common Stock Derivative · Indirect · See Footnotes | Holding | $1.50 exercise price | 2010-11-10 | ||
| 2010-11-10 holding as of filing | DONDERO JAMES D | HIGHLAND CAPITAL MANAGEMENT LP | Strand Advisors, Inc. 10% Owner | 10% Owner | 10% Owner | 3 | Warrant to Purchase Common Stock Derivative · Indirect · See Footnotes | Holding | $1.50 exercise price | 2010-11-10 | ||
| 2010-11-10 holding as of filing | DONDERO JAMES D | HIGHLAND CAPITAL MANAGEMENT LP | Strand Advisors, Inc. 10% Owner | 10% Owner | 10% Owner | 3 | Warrant to Purchase Common Stock Derivative · Indirect · See Footnotes | Holding | $1.50 exercise price | 2010-11-10 | ||
| 2010-11-10 holding as of filing | DONDERO JAMES D | HIGHLAND CAPITAL MANAGEMENT LP | Strand Advisors, Inc. 10% Owner | 10% Owner | 10% Owner | 3 | Warrant to Purchase Common Stock Derivative · Indirect · See Footnotes | Holding | $1.50 exercise price | 2010-11-10 | ||
| 2010-11-10 holding as of filing | DONDERO JAMES D | HIGHLAND CAPITAL MANAGEMENT LP | Strand Advisors, Inc. 10% Owner | 10% Owner | 10% Owner | 3 | Warrant to Purchase Common Stock Derivative · Indirect · See Footnotes | Holding | $1.50 exercise price | 2010-11-10 | ||
| 2010-11-10 holding as of filing | OVP VENTURE PARTNERS VI LP 10% Owner | 3 | Warrant to Purchase Common Stock Derivative · Direct · (m) | Holding | $1.50 exercise price | 2010-11-10 | ||
| 2010-11-10 holding as of filing | OVP VENTURE PARTNERS VI LP 10% Owner | 3 | Warrant to Purchase Common Stock Derivative · Indirect · (m) | Holding | $1.50 exercise price | 2010-11-10 | ||
| 2010-11-10 holding as of filing | OVP VENTURE PARTNERS VI LP 10% Owner | 3 | Warrant to Purchase Common Stock Derivative · Direct · (m) | Holding | $1.50 exercise price | 2010-11-10 | ||
| 2010-11-10 holding as of filing | OVP VENTURE PARTNERS VI LP 10% Owner | 3 | Warrant to Purchase Common Stock Derivative · Indirect · (m) | Holding | $1.50 exercise price | 2010-11-10 | ||
| 2010-11-10 holding as of filing | OVP VENTURE PARTNERS VI LP 10% Owner | 3 | Warrant to Purchase Common Stock Derivative · Direct · (m) | Holding | $1.50 exercise price | 2010-11-10 | ||
| 2010-11-10 holding as of filing | OVP VENTURE PARTNERS VI LP 10% Owner | 3 | Warrant to Purchase Common Stock Derivative · Indirect · (m) | Holding | $1.50 exercise price | 2010-11-10 | ||
| 2010-11-10 holding as of filing | SENYEI ANDREW E Director, 10% Owner | 3 | Warrant to Purchase Common Stock Derivative · Indirect · See Footnote | Holding | $1.50 exercise price | 2010-11-10 | ||
| 2010-11-10 holding as of filing | SENYEI ANDREW E Director, 10% Owner | 3 | Warrant to Purchase Common Stock Derivative · Indirect · See Footnote | Holding | $1.50 exercise price | 2010-11-10 | ||
| 2010-11-10 holding as of filing | SENYEI ANDREW E Director, 10% Owner | 3 | Warrant to Purchase Common Stock Derivative · Indirect · See Footnote | Holding | $1.50 exercise price | 2010-11-10 | ||
| 2010-11-10 holding as of filing | SENYEI ANDREW E Director, 10% Owner | 3 | Warrant to Purchase Common Stock Derivative · Indirect · See Footnote | Holding | $1.50 exercise price | 2010-11-10 | ||
| 2010-11-10 holding as of filing | SENYEI ANDREW E Director, 10% Owner | 3 | Warrant to Purchase Common Stock Derivative · Indirect · See Footnote | Holding | $1.50 exercise price | 2010-11-10 | ||
| 2010-11-10 holding as of filing | SENYEI ANDREW E Director, 10% Owner | 3 | Warrant to Purchase Common Stock Derivative · Indirect · See Footnote | Holding | $1.50 exercise price | 2010-11-10 | ||
| 2010-11-10 holding as of filing | ENTERPRISE PARTNERS V L P 10% Owner | 3 | Warrant to Purchase Common Stock Derivative · Direct | Holding | $1.50 exercise price | 2010-11-10 | ||
| 2010-11-10 holding as of filing | ENTERPRISE PARTNERS V L P 10% Owner | 3 | Warrant to Purchase Common Stock Derivative · Direct | Holding | $1.50 exercise price | 2010-11-10 | ||
| 2010-11-10 holding as of filing | ENTERPRISE PARTNERS V L P 10% Owner | 3 | Warrant to Purchase Common Stock Derivative · Direct | Holding | $1.50 exercise price | 2010-11-10 | ||
| 2010-11-10 holding as of filing | ENTERPRISE PARTNERS VI LP 10% Owner | 3 | Warrant to Purchase Common Stock Derivative · Direct | Holding | $1.50 exercise price | 2010-11-10 | ||
| 2010-11-10 holding as of filing | ENTERPRISE PARTNERS VI LP 10% Owner | 3 | Warrant to Purchase Common Stock Derivative · Direct | Holding | $1.50 exercise price | 2010-11-10 | ||
| 2010-11-10 holding as of filing | ENTERPRISE PARTNERS VI LP 10% Owner | 3 | Warrant to Purchase Common Stock Derivative · Direct | Holding | $1.50 exercise price | 2010-11-10 |