SEC Form 4 · accession 0001209191-17-055830
SANGAMO THERAPEUTICS, INC · SGMO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Curt A. Herberts III
Officer — Sr.VP & Chief Business Officer
Period of report
Oct 2, 2017
Accepted (ET)
Oct 4, 2017 · 4:22 pm EDT
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 Stock | Oct 2, 2017 | M | 5,830 | $5.41 | A | 21,663 | D | |
| Common Stock | Oct 2, 2017 | S | 5,830 | $15.00 | D | 15,833 | D | |
| Common Stock | Oct 2, 2017 | M | 5,416 | $8.87 | A | 21,249 | D | |
| Common Stock | Oct 2, 2017 | S | 5,416 | $15.00 | D | 15,833 | D | |
| Common Stock | Oct 2, 2017 | M | 3,754 | $9.41 | A | 19,587 | D | |
| Common Stock | Oct 2, 2017 | S | 3,754 | $16.00 | D | 15,833 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F2 | $5.41 | Oct 2, 2017 | M | 5,830 | D | — | Dec 5, 2022 | Common Stock | 5,830 | 0 | D |
| Stock Option (Right to Buy)F3 | $8.87 | Oct 2, 2017 | M | 5,416 | D | — | Jul 26, 2025 | Common Stock | 5,416 | 4,584 | D |
| Stock Option (Right to Buy)F4 | $9.41 | Oct 2, 2017 | M | 3,754 | D | — | Dec 7, 2025 | Common Stock | 3,754 | 33,746 | D |
Explanation of responses
- F1All sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 22, 2017.
- F2The shares underlying the stock option are fully vested and exercisable.
- F3One-quarter (1/4) of the option shares vested and became exercisable upon completion of one (1) year of service by the Reporting Person measured from the July 27, 2015 grant date, and the remainder will vest and become exercisable in equal monthly installments for thirty-six (36) months thereafter, provided that the Reporting Person remains in service with the Issuer through each such monthly vesting date.
- F4One-quarter (1/4) of the option shares will vest and become exercisable upon completion of one (1) year of service by the Reporting Person measured from the December 8, 2015 grant date, and the remainder will vest and become exercisable in equal monthly installments for thirty-six (36) months thereafter, provided that the Reporting Person remains in service with the Issuer through each such monthly vesting date.