SEC Form 4 · accession 0001193614-16-000072
SEQUENOM INC · SQNM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Carolyn Beaver
Officer — SVP & CFO
Period of report
Feb 10, 2016
Accepted (ET)
Feb 11, 2016 · 8:25 pm EST
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 | Feb 10, 2016 | M | 1,713 | $0.00 | A | 51,567 | D | |
| Common Stock | Feb 10, 2016 | M | 4,500 | $0.00 | A | 56,067 | D | |
| Common StockF1 | Feb 10, 2016 | M | 18,000 | $0.00 | A | 74,067 | D | |
| Common Stock | holding | — | — | — | 10,000 | I | by Spouse |
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 | — | Feb 10, 2016 | M | 1,713 | D | — | — | Common Stock | 1,713 | 252,713 | D |
| Restricted Stock UnitF4,F5 | — | Feb 10, 2016 | M | 4,500 | D | — | — | Common Stock | 4,500 | 248,213 | D |
| Restricted Stock UnitF6,F7 | — | Feb 10, 2016 | M | 18,000 | D | — | — | Common Stock | 18,000 | 230,213 | D |
Explanation of responses
- F1The beneficially owned common stock holdings reflected in Table I of this form include the purchase of 9,127 shares on 1/29/16, pursuant to the Issuer's Employee Stock Purchase Plan.
- 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 2/1/13, with annual vesting dates on 2/10/14, 2/10/15, 2/10/16 and 2/10/17 such the shares subject to the restricted stock units are fully vested on 2/10/17.
- F4Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock.
- F5The shares subject to the restricted stock unit began vesting in 4 equal annual installments commencing on 2/1/14, with annual vesting dates on 2/10/15, 2/10/16, 2/10/17 and 2/10/18 such the shares subject to the restricted stock units are fully vested on 2/10/18.
- F6Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock.
- F7The shares subject to the restricted stock unit began vesting in 4 equal annual installments commencing on 2/10/15, with annual vesting dates on 2/10/16, 2/10/17, 2/10/18 and 2/10/19 such the shares subject to the restricted stock units are fully vested on 2/10/19.