SEC Form 4 · accession 0001209191-16-134702

PACIFIC BIOSCIENCES OF CALIFORNIA, INC. · PACB

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — SVP, Research & Development

Period of report

Jul 29, 2016

Accepted (ET)

Aug 1, 2016 · 6:43 pm EDT

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
Common Stock	Jul 29, 2016	M	17,500	$1.96	A	198,949	D
Common Stock	Jul 29, 2016	M	2,500	$2.18	A	201,449	D
Common Stock^F2	Jul 29, 2016	S	20,000	$8.446	D	181,449	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Option (right to buy)^F3	$1.96	Jul 29, 2016	M	17,500	D	—	Jun 21, 2017	Common Stock	17,500	0	D
Stock Option (right to buy)^F4	$2.18	Jul 29, 2016	M	2,500	D	Feb 15, 2014	Feb 15, 2023	Common Stock	2,500	97,500	D

F1The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.
F2This is the weighted average price of the shares sold, which ranged from $8.29 to $8.60 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.
F3100% of the shares subject to the option were fully vested and exercisable.
F41/5th of the shares subject to the option vested on February 15, 2014 and the balance of the shares vest monthly thereafter over the next four years, provided that the Reporting Person continues to serve through each vesting date.