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CNAT Conatus Pharmaceuticals Inc

0.556
0.00 (0.00%)
30 Apr 2024 - Closed
Delayed by 15 minutes
Share Name Share Symbol Market Type
Conatus Pharmaceuticals Inc NASDAQ:CNAT NASDAQ Common Stock
  Price Change % Change Share Price Bid Price Offer Price High Price Low Price Open Price Shares Traded Last Trade
  0.00 0.00% 0.556 0.5505 0.554 0 01:00:00

Statement of Changes in Beneficial Ownership (4)

29/05/2020 12:56am

Edgar (US Regulatory)


FORM 4 [ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
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 *

Pascoe Richard W
2. Issuer Name and Ticker or Trading Symbol

Histogen Inc. [ HSTO ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

__X__ Director                    _____ 10% Owner
__X__ Officer (give title below)    _____ Other (specify below)
See Remarks
(Last)          (First)          (Middle)

C/O HISTOGEN INC., 10655 SORRENTO VALLEY RD., STE 200
3. Date of Earliest Transaction (MM/DD/YYYY)

5/26/2020
(Street)

SAN DIEGO, CA 92121
(City)        (State)        (Zip)
4. 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 Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security3. Trans. Date3A. Deemed Execution Date, if any4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Stock Option (right to buy) $5.30 1/24/2019  J  (1)291107     (2)1/24/2029 Common Stock 291107 $0.00 291107 D  
Stock Option (right to buy) $5.30 1/24/2019  J   194071     (3)1/24/2029 Common Stock 194071 $0.00 194071 D  

Explanation of Responses:
(1) Shares of common stock of the corporation formerly known as Histogen Inc. ("Histogen") were converted into shares of common stock of the Issuer pursuant to that certain Agreement and Plan of Merger and Reorganization, dated as of January 28, 2020, by and among the Issuer, Chinook Merger Sub, Inc. and Histogen (the "Merger Agreement"). Pursuant to the terms of the Merger Agreement, each share of Histogen common stock was exchanged for 1.4342 shares of the Issuer's common stock (the "Conversion"). Immediately following the merger, the Issuer changed its name to Histogen Inc. All share numbers reflect the one-for-ten reverse stock split (the "Reverse Split") effected by the Issuer immediately prior to the completion of the merger.
(2) 25% of the shares subject to the option vested on 01/24/2020 and 1/48 of the share subject to the option shall vest monthly thereafter. Shares subject to the option and the exercise price have been adjusted based upon the Conversion and Reverse Split.
(3) 10% of the shares subject to the option vested on the closing of the merger and the remaining 30% of the shares subject to the option vest upon the date, if any, that the market capitalization of the combined company exceeds each of $200,000,000, $275,000,000, and $300,000,000. Shares subject to the option and the exercise price have been adjusted based upon the Conversion and Reverse Split.

Remarks:
President, Chief Executive Officer & Director

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
Pascoe Richard W
C/O HISTOGEN INC.
10655 SORRENTO VALLEY RD., STE 200
SAN DIEGO, CA 92121
X
See Remarks

Signatures
/s/ Richard W. Pascoe5/28/2020
**Signature of Reporting PersonDate

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