SEC Form 4 · accession 0001209191-17-038121
PACIFIC BIOSCIENCES OF CALIFORNIA, INC. · PACB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Susan K Barnes
Officer — EVP, CFO and PAO
Period of report
Jun 2, 2017
Accepted (ET)
Jun 6, 2017 · 4:20 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 | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jun 2, 2017 | M | 276,238 | $2.27 | A | 347,417 | 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)F2 | $2.27 | Jun 2, 2017 | M | 276,238 | D | — | Mar 15, 2023 | Common Stock | 276,238 | 48,762 | D |
Explanation of responses
- F1Includes shares acquired by the Reporting Person pursuant to the Issuer's Employee Stock Purchase Plan.
- F21/60th of the shares subject to the option vest monthly over a five year period, provided that the Reporting Person continues to serve through each vesting date.