SEC Form 4 · accession 0001209191-18-020680
Neurogene Inc. · NGNE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lloyd MacKenzie
Officer — Chief Operating Officer
Period of report
Mar 15, 2018
Accepted (ET)
Mar 19, 2018 · 5:58 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 | Mar 15, 2018 | M | 1,302 | $10.56 | A | 1,302 | D | |
| Common StockF1 | Mar 15, 2018 | S | 1,302 | $14.6304 | 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 | $10.56 | Mar 15, 2018 | M | 1,302 | D | — | Apr 23, 2018 | Common Stock | 1,302 | 0 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.62 to $14.66, inclusive. 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 within the ranges set in this footnote.
- F2All shares subject to the 1,302 share option were fully vested on 3/31/2012.