SEC Form 3 · accession 0001179110-16-030658
RIGEL PHARMACEUTICALS INC · RIGL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Esteban Masuda
Officer — Sr. VP Research
Period of report
Oct 10, 2016
Accepted (ET)
Oct 11, 2016 · 8:56 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001034842
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 15,478 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F1 | $11.36 | holding | — | — | — | — | Jan 24, 2017 | Common Stock | 24,227 | — | D |
| Employee Stock Option (right to buy)F2 | $11.36 | holding | — | — | — | — | Jan 24, 2017 | Common Stock | 35,773 | — | D |
| Employee Stock Option (right to buy)F3 | $11.36 | holding | — | — | — | — | Jan 24, 2017 | Common Stock | 1,774 | — | D |
| Employee Stock Option (right to buy)F4 | $26.45 | holding | — | — | — | — | Jan 31, 2018 | Common Stock | 72,000 | — | D |
| Employee Stock Option (right to buy)F5 | $6.49 | holding | — | — | — | — | Mar 30, 2019 | Common Stock | 45,000 | — | D |
| Employee Stock Option (right to buy)F6 | $9.62 | holding | — | — | — | — | Jan 20, 2020 | Common Stock | 10,000 | — | D |
| Employee Stock Option (right to buy)F7 | $7.11 | holding | — | — | — | — | May 19, 2020 | Common Stock | 25,000 | — | D |
| Employee Stock Option (right to buy)F8 | $6.73 | holding | — | — | — | — | Feb 1, 2021 | Common Stock | 35,000 | — | D |
| Employee Stock Option (right to buy)F9 | $8.15 | holding | — | — | — | — | Jan 25, 2022 | Common Stock | 40,000 | — | D |
| Employee Stock Option (right to buy)F10 | $6.51 | holding | — | — | — | — | Jan 30, 2023 | Common Stock | 60,000 | — | D |
| Employee Stock Option (right to buy)F11 | $3.55 | holding | — | — | — | — | Sep 19, 2023 | Common Stock | 40,000 | — | D |
| Employee Stock Option (right to buy)F12 | $3.20 | holding | — | — | — | — | Jan 29, 2024 | Common Stock | 40,000 | — | D |
| Employee Stock Option (right to buy)F13 | $2.14 | holding | — | — | — | — | Jan 26, 2025 | Common Stock | 50,000 | — | D |
| Employee Stock Option (right to buy)F14 | $2.72 | holding | — | — | — | — | Jan 22, 2026 | Common Stock | 55,000 | — | D |
| Employee Stock Option (Right to Buy)F15 | $3.96 | holding | — | — | — | — | Oct 3, 2026 | Common Stock | 100,000 | — | D |
Explanation of responses
- F1The option was fully vested on 12/1/11.
- F10Common Stock subject to the Option shall vest monthly over a four-year term from the date of grant,subject to the Continuous Service (as defined in the Plan) to the Company through each vesting date.
- F11The option was fully vested on 9/19/15.
- F12The option was fully vested on 2/1/16.
- F13Common Stock subject to the Option shall vest monthly over a two-year term from 1/1/15, subject to the Continuous Service (as defined in the Plan) to the Company through each vesting date.
- F14Common Stock subject to the Option shall vest over a two-year term from 1/1/16, subject to the Continuous Service (as defined in the Plan) to the Company through each vesting date.
- F15Common Stock subject to the Option shall vest over a four-year term, with one-fourth of the shares subject to the Option vesting on September 16, 2017, and 1/48th of the shares subject to the Option vesting monthly thereafter, subject to the Continuous Service (as defined in the Plan) to the Company through each vesting date.
- F2The option was fully vested on 12/1/10.
- F3The option was fully vested on 1/1/08.
- F4The option was fully vested on 1/1/12.
- F5The option was fully vested on 3/30/10.
- F6The option was fully vested on 1/1/11.
- F7The option was fully vested on 3/26/11.
- F8The option was fully vested on 1/1/12.
- F9The option was fully vested on 1/1/13.