SEC Form 4 · accession 0001123292-15-001354
FIVE PRIME THERAPEUTICS INC · FPRX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Julie Hambleton
Officer — EVP & Chief Medical Officer
Period of report
Nov 11, 2015
Accepted (ET)
Nov 13, 2015 · 5:04 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 | Nov 11, 2015 | M | 10,000 | $7.26 | A | 95,919 | D | |
| Common StockF1 | Nov 11, 2015 | S | 6,600 | $34.75 | D | 89,319 | D | |
| Common StockF2 | Nov 11, 2015 | S | 3,400 | $35.23 | D | 85,919 | D | |
| Common Stock | Nov 11, 2015 | M | 12,000 | $11.14 | A | 97,919 | D | |
| Common StockF3 | Nov 11, 2015 | S | 12,000 | $34.33 | D | 85,919 | D | |
| Common StockF4 | Nov 11, 2015 | S | 1,108 | $35.33 | D | 84,811 | D | |
| Common Stock | holding | — | — | — | 1,700 | I | By husband's IRA | |
| Common Stock | holding | — | — | — | 64 | I | By son's custodial account |
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)F5 | $7.26 | Nov 11, 2015 | M | 10,000 | D | — | Jul 18, 2023 | Common Stock | 10,000 | 14,390 | D |
| Employee Stock Option (right to buy)F6 | $11.14 | Nov 11, 2015 | M | 12,000 | D | — | Aug 21, 2024 | Common Stock | 12,000 | 38,000 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $34.03 to $35.02, inclusive. The reporting person undertakes to provide to Five Prime Therapeutics, Inc. (the "Issuer"), any security holder of the Issuer, 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 footnotes 1, 2, 3, and 4 to this Form 4.
- F2The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $35.04 to $35.57, inclusive.
- F3The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $34.00 to $34.69, inclusive.
- F4The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $35.32 to $35.34, inclusive.
- F5The option began vesting on July 19, 2013, at a rate of 1/48th per month.
- F6The option began vesting on September 22, 2014, at a rate of 1/48th per month.