SEC Form 4 · accession 0001140361-15-001831
SANGAMO THERAPEUTICS, INC · SGMO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Henry Ward Wolff
Officer — Exec VP & CFO
Period of report
Jan 12, 2015
Accepted (ET)
Jan 14, 2015 · 7:02 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 StockF1 | Jan 12, 2015 | M | 10,000 | $3.45 | A | 220,849 | D | |
| Common StockF3,F1 | Jan 12, 2015 | S | 10,000 | $15.871 | D | 210,849 | D | |
| Common StockF4,F1 | Jan 12, 2015 | S | 2,000 | $15.87 | D | 208,849 | 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)F5 | $3.45 | Jan 12, 2015 | M | 10,000 | A | — | Dec 9, 2018 | Common Stock | 10,000 | 172,000 | D |
Explanation of responses
- F1Includes 15,000, 23,333 and 37,500 shares subject to RSUs granted on December 6, 2012, December 12, 2013 and December 11, 2014 respectively, that will be issued as such units vest in accordance with their terms.
- F2All sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 11, 2014.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.68 to $16.24, 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.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.70 to $16.23, 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.
- F5All shares underlying these options are vested and exercisable immediately.