SEC Form 4 · accession 0001209191-18-060062
FIVE PRIME THERAPEUTICS INC · FPRX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David V Smith
Officer — Executive Vice President & CFO
Period of report
Nov 26, 2018
Accepted (ET)
Nov 27, 2018 · 7:21 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 StockF1 | Nov 26, 2018 | A | 40,000 | $0.00 | A | 40,000 | 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)F2 | $12.47 | Nov 26, 2018 | A | 185,000 | A | — | Nov 25, 2028 | Common Stock | 185,000 | 185,000 | D |
Explanation of responses
- F1Represents shares of restricted stock, which will vest according to the following schedule: one-third (1/3) of the restricted stock will vest on each of November 26, 2019, 2020 and 2021, provided the reporting person provides services to Five Prime Therapeutics, Inc. (the "Company") through each such date.
- F2One fourth (1/4) of the shares underlying this option will vest on November 26, 2019, and the remainder of the shares underlying this option will vest at a rate of one forty-eighth (1/48) per month thereafter, provided the reporting person provides services to the Company through each such date.