SEC Form 4 · accession 0000899243-16-015236
FIVE PRIME THERAPEUTICS INC · FPRX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lewis T Williams
Officer — President and CEO · Director
Period of report
Mar 2, 2016
Accepted (ET)
Mar 3, 2016 · 7:18 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001175505
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Mar 2, 2016 | M | 23,259 | $6.89 | A | 363,611 | D | |
| Common StockF2 | Mar 2, 2016 | S | 23,259 | $36.01 | D | 340,352 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F3 | $6.89 | Mar 2, 2016 | M | 23,259 | D | — | Jul 28, 2020 | Common Stock | 23,259 | 37,716 | D |
Explanation of responses
- F1The sale reported on this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the reporting person on November 4, 2015.
- F2The price reported in Column 4 is a weighted average. The shares were sold in multiple transactions at prices ranging from $36.00 to $36.15, and inclusive. The reporting person undertakes to provide to Five Prime Therapeutics, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 2 to this Form 4.
- F3The option is fully vested and immediately exercisable.