Form4insider filings, from the source

SEC Form 4 · accession 0000903423-18-000019

Arbutus Biopharma Corp · ABUS

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owners
David C. Ott
10% Owner
Period of report
Jan 12, 2018
Accepted (ET)
Jan 16, 2018 · 8:35 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001447028

Table I — non-derivative securities

No Table I lines on this filing.

Table II — derivative securities

SecurityConv. / exercise priceDateCodeSharesA/DExercisableExpiresUnderlyingUnderlying sharesOwned afterD/I
Series A Participating Convertible Preferred SharesF1,F2,F3,F4,F5,F6$7.13Jan 12, 2018P664,000A—Oct 16, 2021Common shares, no par value13,025,5361,164,000I

Explanation of responses

Remarks

(7) The Reporting Persons are jointly filing this Form 4 pursuant to Rule 16a-3(j) under the Exchange Act. (8) Each of O. Andreas Halvorsen, David C. Ott and Rose S. Shabet is signing individually and as an Executive Committee Member of VIKING GLOBAL PARTNERS LLC, on behalf of VIKING GLOBAL INVESTORS LP, and as an Executive Committee Member of VIKING GLOBAL OPPORTUNITIES GP LLC, on behalf of itself and VIKING GLOBAL OPPORTUNITIES PORTFOLIO GP LLC and VIKING GLOBAL OPPORTUNITIES ILLIQUID INVESTMENTS SUB-MASTER LP. (9) Because no more than 10 reporting persons can file any one Form 4 through the Securities and Exchange Commission's EDGAR system, VGP, VGE, VGE II, VGE III, VLFGP and VLFM have jointly filed with the Reporting Persons on a separate Form 4 filing submitted on the same day hereof.