SEC Form 4/A · accession 0001209191-17-063686
SANGAMO THERAPEUTICS, INC · SGMO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Curt A. Herberts III
Officer — Sr.VP & Chief Business Officer
Period of report
Nov 30, 2017
Accepted (ET)
Dec 4, 2017 · 8:06 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 | Nov 30, 2017 | M | 13,433 | $9.41 | A | 31,266 | D | |
| Common Stock | Nov 30, 2017 | S | 13,433 | $16.00 | D | 17,833 | D | |
| Common Stock | Dec 1, 2017 | M | 781 | $9.41 | A | 18,614 | D | |
| Common Stock | Dec 1, 2017 | M | 416 | $8.87 | A | 19,030 | D | |
| Common StockF3 | Dec 1, 2017 | S | 3,197 | $16.70 | 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)F4 | $9.41 | Nov 30, 2017 | M | 13,433 | D | — | Dec 7, 2025 | Common Stock | 13,433 | 20,313 | D |
| Stock Option (Right to Buy)F4 | $9.41 | Dec 1, 2017 | M | 781 | D | — | Dec 7, 2025 | Common Stock | 781 | 19,532 | D |
| Stock Option (Right to Buy)F5 | $8.87 | Dec 1, 2017 | M | 416 | D | — | Jul 26, 2025 | Common Stock | 416 | 4,168 | D |
Explanation of responses
- F1Includes 2,000 shares acquired by the Reporting Person on October 31, 2017 under the Issuer's Employee Stock Purchase Plan.
- F2All 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.
- F3The shares were sold at prices ranging from $16.25 to $17.175 The reporting person will provide upon request to the SEC, the issuer or security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F4One-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 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.
- F5One-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.
Remarks
This Form 4 Amendment is being filed solely to correct the original filing which inadvertently did not include a power of attorney as an exhibit.