SEC Form 3 · accession 0001144204-16-103219
PHASERX, INC. · PZRX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul H Johnson
Director
Period of report
May 17, 2016
Accepted (ET)
May 17, 2016 · 9:19 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001429386
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | holding | — | — | — | 73,794 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F2,F1 | $2.34 | holding | — | — | — | — | Jul 12, 2023 | Common Stock | 7,508 | — | D |
| Employee Stock Option (right to buy)F3,F1 | $0.11 | holding | — | — | — | — | Jun 13, 2024 | Common Stock | 5,410 | — | D |
Explanation of responses
- F1Reflects a 1-for-10.656096 reverse stock split effected on May 17, 2016.
- F2The option vests in 1/48th equal installments on each monthly anniversary of July 2, 2013, subject to continued service to the Issuer. The grant date of the option was July 12, 2013 and the first installment became exercisable on August 2, 2013.
- F3The option vests in 1/48th equal installments on each monthly anniversary of the date of grant, subject to continued service to the Issuer. The grant date of the option was June 13, 2014 and the first installment became exercisable on July 13, 2014.