SEC Form 4 · accession 0001179110-16-033379
YIELD10 BIOSCIENCE, INC. · YTEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph H Shaulson
Director
Period of report
Nov 4, 2016
Accepted (ET)
Dec 22, 2016 · 4:35 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001121702
Table I — non-derivative securities
No Table I lines on this filing.
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 | $0.44 | Nov 4, 2016 | A | 400,000 | A | — | Dec 19, 2023 | Common Stock | 400,000 | 400,000 | D |
| Stock Option (right to buy)F2 | $0.44 | Nov 4, 2016 | A | 350,000 | A | — | Dec 19, 2023 | Common Stock | 350,000 | 350,000 | D |
Explanation of responses
- F1This stock option was previously reported and became exercisable upon the effectiveness of the release executed by Mr. Shaulson in connection with his separation agreement with the Issuer.
- F2As previously reported, this grant was contingent upon receipt of shareholder approval of amendments to the Issuer's 2014 Stock Option and Incentive Plan, which approval was received on December 21, 2016.