SEC Form 4 · accession 0001209191-18-013183
DYNAVAX TECHNOLOGIES CORP · DVAX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
David F Novack
Officer — Senior Vice President
Period of report
Feb 22, 2018
Accepted (ET)
Feb 23, 2018 · 8:00 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001029142
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Feb 22, 2018 | M | 45,264 | — | A | 57,767 | D | |
| Common StockF2 | Feb 22, 2018 | M | 8,500 | — | A | 66,267 | D | |
| Common StockF3 | Feb 22, 2018 | M | 6,375 | — | A | 77,642 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF1 | — | Feb 22, 2018 | M | 45,264 | D | — | Feb 21, 2024 | Common Stock | 45,264 | 45,263 | D |
| Restricted Stock UnitF2 | — | Feb 22, 2018 | M | 8,500 | D | — | Feb 21, 2024 | Common Stock | 8,500 | 17,000 | D |
| Restricted Stock UnitF3 | — | Feb 22, 2018 | M | 6,375 | D | — | Mar 30, 2024 | Common Stock | 6,375 | 0 | D |
Explanation of responses
- F1Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock. The RSUs vest over two years with 50% vesting on each annual anniversary of February 22, 2017.
- F2Each RSU represents a contingent right to receive one share of common stock. The RSUs vest over three years with 1/3 vesting on each annual anniversary of February 22, 2017.
- F3Each restricted stock unit ("RSU") represents a contingent right. These RSUs vested upon completion of certain performance conditions.