SEC Form 4 · accession 0001140361-18-024052
Achaogen, Inc. · AKAO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lee Swem
Officer — Chief Scientific Officer
Period of report
Sep 25, 2017
Accepted (ET)
May 15, 2018 · 6:31 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 Stock | Sep 25, 2017 | S | 900 | $15.99 | D | 35,919 | D | |
| Common StockF2,F3 | Feb 8, 2018 | A | 7,730 | $0.00 | A | 43,649 | 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)F4 | $10.64 | Feb 8, 2018 | A | 36,000 | A | — | Feb 8, 2028 | Common Stock | 36,000 | 36,000 | D |
Explanation of responses
- F1The shares were sold solely to satisfy tax or other government withholding obligations in connection with the vesting of Restricted Stock Units of the Issuer.
- F2Grant 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.
- F3Includes 24,485 Restricted Stock Units.
- F4The shares subject to the option vest in 48 successive, equal monthly installments on each monthly anniversary of February 8, 2018, subject to the reporting person's continued employment or service relationship with the Issuer on each such vesting date.