Five Prime Therapeutics, Inc. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 10 rows, 10 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2013-09-23: Reporting owner Douglas R Lee; Form 4; Security Series A Preferred Stock; Transaction C Conversion of derivative security.
- 2013-09-23: Reporting owner Douglas R Lee; Form 4; Security Series A-2 Preferred Stock; Transaction C Conversion of derivative security.
- 2013-09-23: Reporting owner ATWOOD BRIAN G; Form 4; Security Series A Preferred Stock; Transaction C Conversion of derivative security.
- 2013-09-23: Reporting owner ATWOOD BRIAN G; 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 |
|---|---|---|---|---|---|---|---|---|
| 2013-09-23 | Douglas R Lee Director | 4 | Series A Preferred Stock Derivative · Indirect · The Robert Lee Douglas and Elizabeth A. Strode Revocable Trust dated October 6, 1994 | C Conversion of derivative security | −4,065 0 owned after | $0.00 | 2013-09-24 | |
| 2013-09-23 | Douglas R Lee Director | 4 | Series A-2 Preferred Stock Derivative · Indirect · The Robert Lee Douglas and Elizabeth A. Strode Revocable Trust dated October 6, 1994 | C Conversion of derivative security | −119 0 owned after | $0.00 | 2013-09-24 | |
| 2013-09-23 | ATWOOD BRIAN G Director | 4 | Series A Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −986,240 0 owned after | $0.00 | 2013-09-24 | |
| 2013-09-23 | ATWOOD BRIAN G Director | 4 | Series A-2 Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −28,989 0 owned after | $0.00 | 2013-09-24 | |
| 2013-09-17 holding as of filing | Douglas R Lee Director | 3 | Series A Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2013-09-17 | ||
| 2013-09-17 holding as of filing | Douglas R Lee Director | 3 | Series A-2 Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2013-09-17 | ||
| 2013-09-17 holding as of filing | Cohen Fred E Director | 3 | Series A Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2013-09-17 | ||
| 2013-09-17 holding as of filing | Cohen Fred E Director | 3 | Series A-2 Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2013-09-17 | ||
| 2013-09-17 holding as of filing | ATWOOD BRIAN G Director | 3 | Series A Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2013-09-17 | ||
| 2013-09-17 holding as of filing | ATWOOD BRIAN G Director | 3 | Series A-2 Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2013-09-17 |