SEC Form 4 · accession 0001140361-18-024055
Achaogen, Inc. · AKAO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Blake Wise
Officer — Chief Executive Officer · Director
Period of report
Feb 8, 2018
Accepted (ET)
May 15, 2018 · 6:34 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,F3 | Feb 8, 2018 | A | 27,600 | $0.00 | A | 91,499 | D | |
| Common StockF4 | holding | — | — | — | 178,416 | I | See Footnote |
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)F5 | $10.64 | Feb 8, 2018 | A | 22,800 | A | — | Feb 8, 2028 | Common Stock | 22,800 | 22,800 | 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.
- F2Includes 67,300 Restricted Stock Units.
- F3Amount adjusted to correct error in Form 4 filed on 8/23/2017. 1,254 shares of common stock were acquired under the Issuer's Employee Stock Purchase Plan on 5/31/17.
- F4The shares are held directly by the Blake A. Wise Living Trust.
- F5The 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.