UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
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) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Option (Right to Buy) | (1)(3) | 09/13/2015 | Common Stock | 40,000 (2) | $ 12.45 | D | |
Stock Option (Right to Buy) | (1)(4) | 03/09/2016 | Common Stock | 25,000 (2) | $ 14.04 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Davis Cathleen Phillips 1300 SEAPORT BOULEVARD 5TH FLOOR REDWOOD CITY, CA 94063 |
VP, Finance and Controller |
/s/ David Southern, Attorney-in-fact | 08/14/2006 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Immediately. |
(2) | The stock option was granted pursuant to the Threshold Pharmaceuticals, Inc. 2004 Amended and Restated Equity Incentive Plan. |
(3) | The option shall vest and become exercisable at the rate of 1/4 of the shares subject to the option on July 22, 2006 and 1/48 of the total number of shares subject to the option on each monthly anniversary following July 22, 2006. |
(4) | The option shall vest and become exercisable at the rate of 1/48 of the shares subject to the option on February 1, 2006 and 1/48 of the total shares subject to the option on each monthly anniversary following February 1, 2006. |