SEC Form 4 · accession 0001140361-15-000850
SANGAMO THERAPEUTICS, INC · SGMO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dale G Ando
Officer — VP, Therapeutic Dev. & CMO
Period of report
Jan 5, 2015
Accepted (ET)
Jan 6, 2015 · 7:24 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001001233
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2,F3 | Jan 5, 2015 | M | 15,000 | $6.82 | A | 110,376 | D | |
| Common StockF4,F2,F3 | Jan 5, 2015 | S | 14,400 | $15.1708 | D | 95,976 | D | |
| Common StockF5,F2,F3 | Jan 5, 2015 | S | 600 | $15.6567 | D | 95,376 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F6 | $6.82 | Jan 5, 2015 | M | 1,500 | D | — | Dec 12, 2016 | Common Stock | 15,000 | 11,798 | D |
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to the Rule 10b5-1 trading plan adopted by the Reporting Person on June 23, 2014.
- F2Includes 11,666, 15,333 and 25,000 shares subject to RSUs granted on December 6, 2012, December 12, 2013 and December 11, 2014 respectively, which will be issued as such units vest in accordance with their terms.
- F3Includes 1,277 shares acquired by the Reporting Person on October 31, 2014 under the Issuer's Employee Stock Purchase Plan.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.60 to $15.59, inclusive. The Reporting Person undertakes to provide to Sangamo BioSciences, Inc., any security holder of Sangamo BioSciences, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range.
- F5The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.63 to $15.70, inclusive. The Reporting Person undertakes to provide to Sangamo BioSciences, Inc., any security holder of Sangamo BioSciences, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range.
- F6All shares underlying this option are vested and immediately exercisable.