SEC Form 4 · accession 0001209191-19-005021
CHIASMA, INC · CHMA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Roni Mamluk
Director
Period of report
Jan 22, 2019
Accepted (ET)
Jan 23, 2019 · 5:43 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001339469
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jan 22, 2019 | M | 5,000 | $0.09 | A | 5,000 | D | |
| Common StockF2 | Jan 22, 2019 | S | 5,000 | $3.674 | D | 0 | 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 | $0.09 | Jan 22, 2019 | M | 5,000 | D | — | Sep 20, 2021 | Common Stock | 5,000 | 146,139 | D |
Explanation of responses
- F1The sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.
- F2This transaction was executed in multiple trades at prices ranging from $3.52 to $3.76. The price reported above reflects the weighted average price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.
- F3This option is fully vested and exercisable.