SEC Form 4 · accession 0001209191-16-149988
NanoString Technologies Inc · NSTG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James A Johnson
Officer — Chief Financial Officer
Period of report
Nov 10, 2016
Accepted (ET)
Nov 14, 2016 · 8:47 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001401708
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 10, 2016 | M | 5,609 | $5.12 | A | 10,698 | D | |
| Common StockF2 | Nov 10, 2016 | S | 4,143 | $22.46 | D | 6,555 | D | |
| Common StockF3 | Nov 10, 2016 | S | 1,466 | $22.76 | D | 5,089 | D | |
| Common Stock | Nov 11, 2016 | M | 4,391 | $5.12 | A | 9,480 | D | |
| Common StockF4 | Nov 11, 2016 | S | 4,391 | $22.60 | D | 5,089 | 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)F5 | $5.12 | Nov 10, 2016 | M | 5,609 | D | — | Oct 15, 2022 | Common Stock | 5,609 | 77,359 | D |
| Stock Option (right to buy)F5 | $5.12 | Nov 11, 2016 | M | 4,391 | D | — | Oct 15, 2022 | Common Stock | 4,391 | 72,968 | D |
Explanation of responses
- F1The sales reported by Mr. Johnson were effected pursuant to a Rule 10b5-1 trading plan adopted on September 14, 2016.
- F2The "Amount" and "Price" reported in this Column 4 reflect the aggregate number and weighted-average price, respectively, of shares sold. These shares were sold in multiple transactions at prices ranging from $21.71 to $22.71, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein.
- F3The "Amount" and "Price" reported in this Column 4 reflect the aggregate number and weighted-average price, respectively, of shares sold. These shares were sold in multiple transactions at prices ranging from $22.72 to $22.82, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein.
- F4The "Amount" and "Price" reported in this Column 4 reflect the aggregate number and weighted-average price, respectively, of shares sold. These shares were sold in multiple transactions at prices ranging from $22.50 to $22.75, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein.
- F5This option is subject to an early exercise provision and is immediately exercisable. 25% of the shares subject to the Option vest on the one-year anniversary of October 1, 2012 (the "Vesting Commencement Date"), and thereafter 1/48th of the shares subject to the Option vest on each monthly anniversary of the Vesting Commencement.