SEC Form 4 · accession 0001209191-18-045934
FIVE PRIME THERAPEUTICS INC · FPRX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Aron Marc Knickerbocker
Officer — President & CEO · Director
Period of report
Aug 7, 2018
Accepted (ET)
Aug 8, 2018 · 7:49 pm EDT
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 | Aug 7, 2018 | M | 500 | $11.14 | A | 191,867 | D | |
| Common Stock | Aug 8, 2018 | M | 500 | $11.14 | A | 192,367 | D | |
| Common Stock | holding | — | — | — | 14,238 | I | By the Aron M. Knickerbocker Revocable Trust |
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)F2,F1 | $11.14 | Aug 7, 2018 | M | 500 | D | — | Aug 21, 2024 | Common Stock | 500 | 39,179 | D |
| Employee Stock Option (right to buy)F1 | $11.14 | Aug 8, 2018 | M | 500 | D | — | Aug 21, 2024 | Common Stock | 500 | 38,679 | D |
Explanation of responses
- F1The shares underlying the option vest at a rate of one forty-eighth (1/48th) per month following August 22, 2014, provided the reporting person provides services to Five Prime Therapeutics, Inc. through each such date.
- F2Since the reporting person's last exercise of this option, the reporting person transferred to his ex-wife an employee stock option to purchase 3,850 shares of FPRX common stock pursuant to a domestic relations order. The reporting person no longer reports as beneficially owned any securities owned by his ex-wife.