SEC Form 4 · accession 0001193614-16-000073
SEQUENOM INC · SQNM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ronald M Lindsay
Director
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 | 5,362 | $0.00 | A | 211,829 | D | |
| Common StockF1 | Feb 10, 2016 | F | 2,025 | $1.66 | D | 209,804 | 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 | — | Feb 10, 2016 | M | 5,362 | D | — | — | Common Stock | 5,362 | 5,362 | 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 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.