SEC Form 4 · accession 0001209191-18-057677
SANGAMO THERAPEUTICS, INC · SGMO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Edward R. Conner
Officer — Sr. VP & Chief Medical Officer
Period of report
Nov 6, 2018
Accepted (ET)
Nov 7, 2018 · 5:41 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 6, 2018 | M | 5,000 | $3.20 | A | 17,125 | D | |
| Common StockF3 | Nov 6, 2018 | S | 5,000 | $13.73 | D | 12,125 | 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 | $3.20 | Nov 6, 2018 | M | 5,000 | D | — | Nov 29, 2026 | Common Stock | 5,000 | 140,000 | D |
Explanation of responses
- F1Includes 6,125 shares subject to restricted stock units granted on January 24, 2018 that will vest in three (3) equal annual installments on each anniversary of the grant date, such that they will be vested in full on the third (3rd) anniversary of the grant date, subject to the Reporting Person's continued service with the Issuer through such date. Includes 2,000 shares acquired by the Reporting Person on October 31, 2018 under the Issuer's 2010 Employee Stock Purchase Plan, as amended.
- F2All sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 16, 2017.
- F3The price reported is a weighted average price. The shares were sold at prices ranging from $13.56 to $13.85 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 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.