THRESHOLD PHARMACEUTICALS INC 4
4 · THRESHOLD PHARMACEUTICALS INC · Filed Oct 3, 2014
Insider Transaction Report
Form 4
YOUNGER WILLIAM H JR
10% Owner
Transactions
- Exercise of In-Money
Common Stock
2014-10-01$2.05/sh+26,509$54,343→ 126,887 total(indirect: By Trust) - Sale
Common Stock
2014-10-01$3.77/sh−14,407$54,343→ 112,480 total(indirect: By Trust) - Sale
Common Stock
2014-10-01$3.77/sh−1,332$5,024→ 89,275 total(indirect: By Trust) - Exercise of In-Money
Common Stock Warrant
2014-10-01−417,050→ 0 total(indirect: By Partnership)Exercise: $2.05From: 2009-10-05Exp: 2014-10-05→ Common Stock (417,050 underlying) - Exercise of In-Money
Common Stock Warrant
2014-10-01−2,452→ 0 total(indirect: By Trust)Exercise: $2.05From: 2009-10-05Exp: 2014-10-05→ Common Stock (2,452 underlying) - Exercise of In-Money
Common Stock Warrant
2014-10-01−26,509→ 0 total(indirect: By Trust)Exercise: $2.05From: 2009-10-05Exp: 2014-10-05→ Common Stock (26,509 underlying) - Exercise of In-Money
Common Stock
2014-10-01$2.05/sh+2,452$5,027→ 90,607 total(indirect: By Trust) - Exercise of In-Money
Common Stock
2014-10-01$2.05/sh+417,050$854,952→ 4,942,055 total(indirect: By Partnership) - Sale
Common Stock
2014-10-01$3.77/sh−226,657$854,950→ 4,715,398 total(indirect: By Partnership)
Holdings
- 71,752(indirect: By Partnership)
Common Stock
Footnotes (5)
- [F1]Shares held by Sutter Hill Ventures, a California Limited Partnership. The reporting person is a Managing Director of the General Partner of Sutter Hill Ventures, a California Limited Partnership. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.
- [F2]On October 1, 2014, the reporting person exercised a warrant to purchase shares of the issuer's common stock for $2.05 per share. In accordance with the terms of the warrant, the exercise price was paid on a net basis. The shares disposed of in column 4 represent the number of shares of common stock withheld by the issuer to pay the exercise price.
- [F3]Shares held by SHV Profit Sharing Plan, a retirement trust, for the benefit of the reporting person.
- [F4]Shares held by a trust of which the reporting person is the trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.
- [F5]Shares held by a limited partnership of which the reporting person is the trustee of a trust which is the General Partner. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.