SEC Form 4 · accession 0001127602-16-041406
LEXICON PHARMACEUTICALS, INC. · LXRX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alan J Main
Officer — EVP, CMC and Supply Operations
Period of report
Feb 11, 2016
Accepted (ET)
Feb 16, 2016 · 4:16 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001062822
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 27,147 | 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)F1 | $8.20 | Feb 11, 2016 | A | 65,340 | A | — | Feb 11, 2026 | Common Stock | 65,340 | 65,340 | D |
| Restricted Stock Units (Phantom Stock)F2,F3 | — | Feb 11, 2016 | A | 16,340 | A | — | — | Common Stock | 16,340 | 16,340 | D |
| Stock Option (Right to Buy)F4 | $12.67 | holding | — | — | — | — | Feb 23, 2021 | Common Stock | 37,142 | 37,142 | D |
| Stock Option (Right to Buy)F5 | $12.60 | holding | — | — | — | — | Feb 15, 2022 | Common Stock | 39,999 | 39,999 | D |
| Restricted Stock Units (Phantom Stock)F2,F6 | — | holding | — | — | — | — | — | Common Stock | 2,500 | 2,500 | D |
| Stock Option (Right to Buy)F7 | $14.63 | holding | — | — | — | — | Feb 8, 2023 | Common Stock | 37,713 | 37,713 | D |
| Restricted Stock Units (Phantom Stock)F2,F8 | — | holding | — | — | — | — | — | Common Stock | 4,714 | 4,714 | D |
| Stock Option (Right to Buy)F9 | $12.04 | holding | — | — | — | — | Feb 6, 2024 | Common Stock | 42,856 | 42,856 | D |
| Restricted Stock Units (Phantom Stock)F2,F10 | — | holding | — | — | — | — | — | Common Stock | 8,035 | 8,035 | D |
| Stock Option (Right to Buy)F11 | $6.23 | holding | — | — | — | — | Feb 5, 2025 | Common Stock | 84,342 | 84,342 | D |
| Restricted Stock Units (Phantom Stock)F2,F12 | — | holding | — | — | — | — | — | Common Stock | 21,085 | 21,085 | D |
| Stock Option (Right to Buy)F13 | $27.58 | holding | — | — | — | — | Feb 13, 2017 | Common Stock | 14,285 | 14,285 | D |
| Stock Option (Right to Buy)F14 | $14.49 | holding | — | — | — | — | Feb 7, 2018 | Common Stock | 28,570 | 28,570 | D |
| Stock Option (Right to Buy)F15 | $10.15 | holding | — | — | — | — | Feb 12, 2019 | Common Stock | 46,427 | 46,427 | D |
| Stock Option (Right to Buy)F16 | $13.30 | holding | — | — | — | — | Feb 15, 2020 | Common Stock | 46,428 | 46,428 | D |
Explanation of responses
- F1Option vests with respect to 25% of the shares subject to the option on the first anniversary of grant (2/11/2017) and vests 1/48th per month for each month of service thereafter.
- F10Restricted stock units vest with respect to 25% of the shares subject to the restricted stock units on February 28, 2015 and vest an additional 25% on February 28 of each of the three succeeding years thereafter.
- F11Option vests with respect to 25% of the shares subject to the option on the first anniversary of grant (2/5/16) and vests 1/48th per month for each month of service thereafter.
- F12Restricted stock units vest with respect to 25% of the shares subject to the restricted stock units on February 28, 2016 and vest an additional 25% on February 28 of each of the three succeeding years thereafter.
- F13Option vests with respect to 25% of the shares subject to the option on the first anniversary of grant (2/13/2008) and vests 1/48th per month for each month of service thereafter.
- F14Option vests with respect to 25% of the shares subject to the option on the first anniversary of grant (2/7/2009) and vests 1/48th per month for each month of service thereafter.
- F15Option vests with respect to 25% of the shares subject to the option on the first anniversary of grant (2/12/2010) and vests 1/48th per month for each month of service thereafter.
- F16Option vests with respect to 25% of the shares subject to the option on the first anniversary of grant (2/15/2011) and vests 1/48th per month for each month of service thereafter.
- F2Each restricted stock unit represents a contingent right to receive one share of common stock.
- F3Restricted stock units vest with respect to 25% of the shares subject to the restricted stock units on February 28, 2017 and vest an additional 25% on February 28 of each of the three succeeding years thereafter.
- F4Option vests with respect to 25% of the shares subject to the option on the first anniversary of grant (2/23/2012) and vests 1/48th per month for each month of service thereafter.
- F5Option vests with respect to 25% of the shares subject to the option on the first anniversary of grant (2/15/2013) and vests 1/48th per month for each month of service thereafter.
- F6Restricted stock units vest with respect to 25% of the shares subject to the restricted stock units on February 28, 2013 and vest an additional 25% on February 28 of each of the three succeeding years thereafter.
- F7Option vests with respect to 25% of the shares subject to the option on the first anniversary of grant (2/8/2014) and vests 1/48th per month for each month of service thereafter
- F8Restricted stock units vest with respect to 25% of the shares subject to the restricted stock units on February 28, 2014 and vest an additional 25% on February 28 of each of the three succeeding years thereafter.
- F9Option vests with respect to 25% of the shares subject to the option on the first anniversary of grant (2/6/15) and vests 1/48th per month for each month of service thereafter.