SEC Form 4 · accession 0001140361-15-044030
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
Dec 7, 2015
Accepted (ET)
Dec 9, 2015 · 4:53 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,F2 | Dec 8, 2015 | A | 25,000 | $0.00 | A | 121,763 | D | |
| Common StockF3,F2 | Dec 7, 2015 | F | 6,087 | $9.69 | D | 115,676 | 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)F4 | $9.41 | Dec 8, 2015 | A | 50,000 | A | — | Dec 7, 2025 | Common Stock | 50,000 | 50,000 | D |
Explanation of responses
- F1Shares subject to restricted stock units ("RSUs"), which will vest in a series of three successive equal annual installments upon the Reporting Person's completion of each year of service over the three year period from the grant date.
- F2Includes 15,333 and 25,000 shares subject to RSUs granted on December 12, 2013 and December 11, 2014 respectively, which will be issued as such units vest in accordance with their terms.
- F3Represents shares withheld by the Issuer to satisfy the Reporting Person's tax withholding obligation upon the vesting and issuance of RSUs.
- F4The stock option vests and becomes exercisable for 25% of the shares upon the Reporting Person's completion of one year of service measured form the grant date and, and the balance of the shares will vest and become exercisable in 36 successive equal monthly installments upon his completion of each additional month of service thereafter.