SEC Form 4 · accession 0001193614-15-000038
SEQUENOM INC · SQNM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dirk Van Den Boom
Officer — EVP, CSSO
Period of report
Jun 10, 2015
Accepted (ET)
Jun 11, 2015 · 5:03 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001076481
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jun 10, 2015 | M | 4,125 | $0.00 | A | 62,720 | D | |
| Common StockF1 | Jun 10, 2015 | F | 1,551 | $3.34 | D | 61,169 | 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 UnitF2,F3 | — | Jun 10, 2015 | M | 4,125 | D | — | — | Common Stock | 4,125 | 148,625 | D |
Explanation of responses
- F1Shares have been surrendered to the issuer to satisfy the reporting person's tax withholding obligation due on vesting of restricted stock units.
- F2Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock.
- F3The shares subject to the restricted stock unit began vesting in 4 equal annual installments commencing on 6/10/14, with annual vesting dates on 6/10/15, 6/10/16, 6/10/17 and 6/10/18 such the shares subject to the restricted stock units are fully vested on 6/10/18.