SEC Form 4 · accession 0001209191-16-152411
FIVE PRIME THERAPEUTICS INC · FPRX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Francis Willard Sarena
Officer — Chief Strategy Officer
Period of report
Nov 28, 2016
Accepted (ET)
Nov 30, 2016 · 11:54 am 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 28, 2016 | M | 1,710 | $5.54 | A | 82,976 | D | |
| Common StockF2 | Nov 28, 2016 | S | 1,710 | $60.14 | D | 81,266 | 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 | $5.54 | Nov 28, 2016 | M | 1,710 | D | — | Jul 15, 2022 | Common Stock | 1,710 | 12,778 | D |
Explanation of responses
- F1The sales reported on this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the reporting person on October 27, 2015.
- F2The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $60.00 to $60.47, 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 to this Form 4.
- F3This option is fully vested and immediately exercisable.