SEC Form 4 · accession 0001209191-16-093579
PACIFIC BIOSCIENCES OF CALIFORNIA, INC. · PACB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lucy Shapiro
Director
Period of report
Jan 22, 2016
Accepted (ET)
Jan 26, 2016 · 4:01 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001299130
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jan 22, 2016 | M | 35,000 | $1.93 | A | 35,000 | D | |
| Common Stock | Jan 22, 2016 | M | 25,000 | $2.54 | A | 70,000 | D | |
| Common Stock | Jan 22, 2016 | M | 25,000 | $4.45 | A | 95,000 | D | |
| Common Stock | Jan 22, 2016 | M | 16,666 | $5.79 | A | 101,666 | D |
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)F1 | $1.93 | Jan 22, 2016 | M | 35,000 | D | — | Sep 12, 2022 | Common Stock | 35,000 | 0 | D |
| Stock Option (right to buy)F1 | $2.54 | Jan 22, 2016 | M | 25,000 | D | — | May 21, 2023 | Common Stock | 25,000 | 0 | D |
| Stock Option (right to buy)F1 | $4.45 | Jan 22, 2016 | M | 25,000 | D | — | May 22, 2024 | Common Stock | 25,000 | 0 | D |
| Stock Option (right to buy)F2 | $5.79 | Jan 22, 2016 | M | 16,666 | D | Jun 20, 2015 | May 20, 2025 | Common Stock | 16,666 | 8,334 | D |
Explanation of responses
- F1The shares subject to the option were fully vested and exercisable.
- F2The shares subject to the option will vest in equal monthly installments over a one year period.