SEC Form 4 · accession 0001209191-18-063927
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
Dec 20, 2018
Accepted (ET)
Dec 21, 2018 · 4:37 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 | Dec 20, 2018 | M | 250,000 | $4.79 | A | 641,167 | D | |
| Common Stock | Dec 20, 2018 | M | 48,762 | $2.27 | A | 689,929 | D | |
| Common Stock | Dec 20, 2018 | M | 18,228 | $2.63 | A | 708,157 | 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 | $4.79 | Dec 20, 2018 | M | 250,000 | D | — | Feb 15, 2022 | Common Stock | 250,000 | 0 | D |
| Stock Option (right to buy)F1 | $2.27 | Dec 20, 2018 | M | 48,762 | D | — | Mar 15, 2023 | Common Stock | 48,762 | 0 | D |
| Stock Option (right to buy)F2 | $2.63 | Dec 20, 2018 | M | 18,228 | D | — | Mar 15, 2028 | Common Stock | 18,228 | 69,272 | 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 the next four years, provided that the Reporting Person continues to serve through each vesting date.