SEC Form 4 · accession 0001209191-19-017164
SANGAMO THERAPEUTICS, INC · SGMO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kathy Yi
Officer — EVP & Chief Financial Officer
Period of report
Mar 1, 2019
Accepted (ET)
Mar 5, 2019 · 8:21 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 Stock | Mar 1, 2019 | M | 5,000 | $4.55 | A | 30,512 | D | |
| Common StockF2 | Mar 1, 2019 | S | 5,000 | $10.00 | D | 25,512 | 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)F3 | $4.55 | Mar 1, 2019 | M | 5,000 | D | — | Feb 27, 2027 | Common Stock | 5,000 | 140,000 | D |
Explanation of responses
- F1The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 14, 2017.
- F2Includes 4,833 shares subject to restricted stock units granted on January 24, 2018 that will vest in two (2) remaining 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 dates. Additionally, this amount includes 19,250 shares subject to restricted stock units granted on February 25, 2019 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 dates.
- 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 February 27, 2017, 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.