SEC Form 4 · accession 0001299130-15-000133
PACIFIC BIOSCIENCES OF CALIFORNIA, INC. · PACB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Michael Phillips
Officer — SVP, Research & Development
Period of report
Aug 7, 2015
Accepted (ET)
Aug 11, 2015 · 5:12 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 Stock | Aug 7, 2015 | M | 31,663 | $0.70 | A | 195,849 | D | |
| Common StockF1 | Aug 7, 2015 | S | 16,689 | $4.6144 | D | 179,160 | 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 | $0.70 | Aug 7, 2015 | M | 31,663 | D | — | Sep 8, 2015 | Common Stock | 31,663 | 0 | D |
Explanation of responses
- F1This is the weighted average price of the shares sold, which ranged from $4.61 to $4.65 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.
- F2The shares subject to the option are fully vested and exercisable.