SEC Form 4 · accession 0001140361-15-002061
SANGAMO THERAPEUTICS, INC · SGMO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Edward O Lanphier II
Officer — President & CEO · Director
Period of report
Jan 15, 2015
Accepted (ET)
Jan 16, 2015 · 8:20 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 15, 2015 | M | 15,000 | $6.82 | A | 250,000 | D | |
| Common StockF3,F1 | Jan 15, 2015 | S | 13,400 | $14.0912 | D | 236,600 | D | |
| Common StockF4,F1 | Jan 15, 2015 | S | 1,600 | $14.9666 | D | 235,000 | D | |
| Common StockF1 | Jan 16, 2015 | M | 10,000 | $6.82 | D | 245,000 | D | |
| Common StockF5,F1 | Jan 16, 2015 | S | 10,000 | $14.2853 | D | 235,000 | D | |
| Common StockF6 | holding | — | — | — | 1,189,021 | I | By Trust |
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)F7 | $6.82 | Jan 15, 2015 | M | 15,000 | D | — | Dec 12, 2016 | Common Stock | 15,000 | 185,000 | D |
| Employee Stock Option (Right to Buy)F7 | $6.82 | Jan 16, 2015 | M | 10,000 | D | — | Dec 12, 2016 | Common Stock | 10,000 | 175,000 | D |
Explanation of responses
- F1Includes 60,000, 50,000 shares and 125,000 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.
- F2The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on June 20, 2014.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.60 to $14.54, 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 $14.65 to $15.095, 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 $13.90 to $14.57, 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.
- F6These shares are held in the Edward O. Lanphier II and Cameron M. Lanphier Trust U/T/A August 30, 2002, Edward O. Lanphier II and Cameron M. Lanphier, Trustees.
- F7All shares underlying these options are vested and exercisable immediately.