SEC Form 4 · accession 0001203311-15-000056
SEATTLE GENETICS INC /WA · SGEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Clay B Siegall
Officer — President and CEO · Director
Period of report
Oct 28, 2015
Accepted (ET)
Oct 29, 2015 · 8:30 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001060736
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Oct 28, 2015 | M | 14,063 | $4.45 | A | 625,386 | D | |
| Common StockF1 | Oct 28, 2015 | M | 18,202 | $5.63 | A | 643,588 | D | |
| Common Stock | holding | — | — | — | 27,945 | I | by Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Incentive Stock Option (right to buy)F2 | $4.45 | Oct 28, 2015 | M | 14,063 | D | — | Sep 5, 2016 | Common Stock | 14,063 | 0 | D |
| Incentive Stock Option (right to buy)F2 | $5.63 | Oct 28, 2015 | M | 18,202 | D | — | Jan 31, 2016 | Common Stock | 18,202 | 0 | D |
Explanation of responses
- F1Amount of securities beneficially owned following reported transactions includes restricted stock units subject to vesting.
- F2Shares vested at a rate of 25% on 1/31/07 and monthly thereafter until all the shares were fully vested on 1/31/10.