SEC Form 4 · accession 0001209191-15-066176
Neurogene Inc. · NGNE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kamran Alam
Officer — CFO, Vice President Finance
Period of report
Aug 12, 2015
Accepted (ET)
Aug 14, 2015 · 8:36 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001404644
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Aug 12, 2015 | M | 8,246 | $5.76 | A | 8,246 | D | |
| Common Stock | Aug 12, 2015 | M | 20,833 | $5.76 | A | 29,079 | D | |
| Common StockF1 | Aug 12, 2015 | S | 29,079 | $18.67 | 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)F2 | $5.76 | Aug 12, 2015 | M | 8,246 | D | — | May 29, 2022 | Common Stock | 8,246 | 2,170 | D |
| Stock Option (Right to Buy)F3 | $5.76 | Aug 12, 2015 | M | 20,833 | D | — | Aug 22, 2021 | Common Stock | 20,833 | 0 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $17.775 to $20.43. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price withinh the ranges set in this footnote.
- F2The shares subject to this option shall vest and become exercisable at a rate of twenty-five percent of the total number of shares underlying the options on the one-year anniversary of the vesting commencement date and 1/48th of the total number of shares underlying the options each monthly anniversary of the vesting commencement date thereafter for so long as the recipient of the option provides continuous service to the issuer, such that the total number of shares underlying the options shall be fully vested on the four-year anniversary of the vesting commencement date.
- F3Fully vested.