SEC Form 4 · accession 0001209191-15-001704
Eiger BioPharmaceuticals, Inc. · EIGR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ryan K Takeya
Officer — VP, Manufacturing
Period of report
Jan 1, 2015
Accepted (ET)
Jan 5, 2015 · 8:44 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001305253
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jan 2, 2015 | M | 7,777 | $1.12 | A | 9,209 | D | |
| Common StockF3,F1 | Jan 2, 2015 | S | 7,777 | $19.88 | D | 1,432 | 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,F5 | $19.53 | Jan 1, 2015 | A | 72,000 | D | Jan 1, 2016 | Dec 31, 2024 | Common Stock | 72,000 | 167,349 | D |
| Stock option (right to buy)F6 | $1.12 | Jan 2, 2015 | M | 7,777 | D | Jan 27, 2013 | Jun 14, 2022 | Common Stock | 7,777 | 159,572 | D |
Explanation of responses
- F1The amount includes shares purchased under Celladon Corporation's employee stock purchase plan prior to the reported transaction.
- F2The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 plan adopted by the reporting person.
- F3The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.51 to $20.13 per share, inclusive. The reporting person undertakes to provide to Celladon Corporation, any security holder of Celladon Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
- F4Grant of stock option under the Issuer's 2013 Equity Incentive Plan.
- F525% of the shares subject to the option vest and become exercisable on the one year anniversary of January 1, 2015 (the "Vesting Commencement Date"), and 1/48th of the shares vest in equal monthly installments thereafter, over the remaining three years.
- F625% of the shares subject to the option vested and became exercisable on the one year anniversary of January 27, 2012 (the "Vesting Commencement Date"), and 1/48th of the shares vest in equal monthly installments thereafter, over the remaining three years.