SEC Form 4 · accession 0001140361-15-011749
Achaogen, Inc. · AKAO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Derek A Bertocci
Officer — Chief Financial Officer
Period of report
Mar 11, 2015
Accepted (ET)
Mar 13, 2015 · 5:38 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001301501
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Mar 11, 2015 | A | 10,500 | $0.00 | A | 11,854 | 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)F3 | $10.44 | Mar 11, 2015 | A | 37,250 | A | — | Mar 11, 2025 | Common Stock | 37,250 | 37,250 | D |
Explanation of responses
- F1Grant of Restricted Stock Units ("RSUs"). The reporting person is entitled to one (1) share of Common Stock for each one (1) RSU upon the vesting thereof.
- F2Comprised of 10,500 RSUs and 1,354 shares acquired under the Issuer's Employee Stock Purchase Plan on November 28, 2014.
- F3The shares subject to the option vest in 48 successive, equal monthly installments on each monthly anniversary of March 11, 2015, subject to the reporting person's continued employment or service relationship with the Issuer on each such vesting date.