SEC Form 4 · accession 0001209191-16-156690
FIVE PRIME THERAPEUTICS INC · FPRX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lewis T Williams
Officer — President, CEO and Chairman · Director
Period of report
Dec 23, 2016
Accepted (ET)
Dec 23, 2016 · 5:11 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 | Dec 23, 2016 | M | 155 | $4.56 | A | 434,047 | D | |
| Common Stock | Dec 23, 2016 | M | 19 | $6.89 | A | 434,066 | D | |
| Common Stock | Dec 23, 2016 | M | 10 | $8.49 | A | 434,076 | D | |
| Common Stock | Dec 23, 2016 | M | 29,816 | $5.54 | A | 463,892 | D | |
| Common StockF2 | Dec 23, 2016 | S | 29,700 | $50.49 | D | 434,192 | D | |
| Common StockF3 | Dec 23, 2016 | S | 300 | $51.02 | D | 433,892 | 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)F4 | $4.56 | Dec 23, 2016 | M | 155 | D | — | Apr 15, 2019 | Common Stock | 155 | 91,217 | D |
| Employee Stock Option (right to buy)F4 | $6.89 | Dec 23, 2016 | M | 19 | D | — | Jul 28, 2020 | Common Stock | 19 | 14,438 | D |
| Employee Stock Option (right to buy)F4 | $8.49 | Dec 23, 2016 | M | 10 | D | — | Oct 19, 2021 | Common Stock | 10 | 16,349 | D |
| Employee Stock Option (right to buy)F4 | $5.54 | Dec 23, 2016 | M | 29,816 | D | — | Jul 15, 2022 | Common Stock | 29,816 | 31,159 | 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 September 23, 2016.
- F2The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $50.00 to $50.94, 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 footnotes 2 and 3 to this Form 4.
- F3The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $51.00 to $51.04, inclusive.
- F4This option is fully vested and immediately exercisable.