Initial Statement of Beneficial Ownership (3)
2017年4月13日 - 7:39AM
Edgar (US Regulatory)
FORM 3
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0104
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
*
SCHIMMEL PAUL
|
2. Date of Event Requiring Statement (MM/DD/YYYY)
4/12/2017
|
3. Issuer Name
and
Ticker or Trading Symbol
Tocagen Inc [TOCA]
|
(Last)
(First)
(Middle)
C/O TOCAGEN INC., 3030 BUNKER HILL, STE. 230
|
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
__
X
__ Director
_____ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
|
(Street)
SAN DIEGO, CA 92109
(City)
(State)
(Zip)
|
5. 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 Beneficially Owned
|
1.Title of Security
(Instr. 4)
|
2. Amount of Securities Beneficially Owned
(Instr. 4)
|
3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
|
4. Nature of Indirect Beneficial Ownership
(Instr. 5)
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 4)
|
2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
|
3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
|
4. Conversion or Exercise Price of Derivative Security
|
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
|
6. Nature of Indirect Beneficial Ownership
(Instr. 5)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Stock Option (right to buy)
|
(1)
|
2/17/2025
|
Common Stock
|
18115
|
$11.60
|
D
|
|
Stock Option (right to buy)
|
(2)
|
6/9/2026
|
Common Stock
|
5289
|
$14.98
|
D
|
|
Series H Preferred Stock
|
(3)
|
(3)
|
Common Stock
|
23464
(4)
|
$0.00
(3)
|
D
|
|
Series F Preferred Stock
|
(5)
|
(5)
|
Common Stock
|
4117
(4)
|
$0.00
(5)
|
I
|
By NFS/FMTC FBO Paul Schimmel Rollover IRA
|
Series G Preferred Stock
|
(6)
|
(6)
|
Common Stock
|
3623
(4)
|
$0.00
(6)
|
I
|
By Paul Schimmel Prototype PSP Paul R. Schimmel, TTEE U/A dtd 01/01/1999 FBO Paul Schimmel
|
Series G Preferred Stock
|
(6)
|
(6)
|
Common Stock
|
3623
(4)
|
$0.00
(6)
|
I
|
By Schimmel Revocable Trust Paul R. Schimmel, Trustee Cleo Schimmel, Trustee U/A dtd 9/6/2000
|
Explanation of Responses:
|
(1)
|
1/4th of the shares vest one year after 2/11/2015; 1/48th of the shares vest monthly thereafter over the next 3 years.
|
(2)
|
1/4th of the shares vest one year after 4/1/2016; 1/48th of the shares vest monthly thereafter over the next 3 years.
|
(3)
|
The shares of Series H Preferred Stock have no expiration date and are convertible at any time at the election of the holder into shares of Common Stock without payment of further consideration. Each share of Series H Preferred Stock will automatically convert on a 1-for-6.9 basis into shares of Common Stock upon the closing of the Issuer's initial public offering.
|
(4)
|
Share numbers give effect to the 1-for-6.9 reverse stock split of the Issuer's Common Stock effected on March 31, 2017, which will be effective for the Preferred Stock upon its conversion to Common Stock upon the closing of the Issuer's initial public offering.
|
(5)
|
The shares of Series F Preferred Stock have no expiration date and are convertible at any time at the election of the holder into shares of Common Stock without payment of further consideration. Each share of Series F Preferred Stock will automatically convert on a 1-for-6.9 basis into shares of Common Stock upon the closing of the Issuer's initial public offering.
|
(6)
|
The shares of Series G Preferred Stock have no expiration date and are convertible at any time at the election of the holder into shares of Common Stock without payment of further consideration. Each share of Series G Preferred Stock will automatically convert on a 1-for-6.9 basis into shares of Common Stock upon the closing of the Issuer's initial public offering.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
SCHIMMEL PAUL
C/O TOCAGEN INC.
3030 BUNKER HILL, STE. 230
SAN DIEGO, CA 92109
|
X
|
|
|
|
Signatures
|
/s/ Paul Schimmel, Ph.D.
|
|
4/12/2017
|
**
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 5(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.
|
Tocagen (NASDAQ:TOCA)
過去 株価チャート
から 6 2024 まで 7 2024
Tocagen (NASDAQ:TOCA)
過去 株価チャート
から 7 2023 まで 7 2024
Real-Time news about Tocagen Inc (ナスダック市場): 0 recent articles
その他のTocagen Incニュース記事