SEC Form 3 · accession 0001140361-15-045387
Arbutus Biopharma Corp · ABUS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peter Lutwyche
Officer — Chief Tech. Operations Officer
Period of report
Dec 3, 2015
Accepted (ET)
Dec 22, 2015 · 5:54 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001447028
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Shares | holding | — | — | — | 38,758 | 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)F1 | $5.15 | holding | — | — | — | Dec 10, 2012 | Dec 9, 2022 | Common Shares | 5,000 | — | D |
| Employee Stock Option (Right to Buy)F1,F2 | $16.40 | holding | — | — | — | Feb 5, 2014 | Feb 4, 2024 | Common Shares | 20,000 | — | D |
| Employee Stock Option (Right to Buy)F3 | $17.57 | holding | — | — | — | Mar 30, 2015 | Mar 30, 2025 | Common Shares | 65,000 | — | D |
| Employee Stock Option (Right to Buy)F3 | $17.57 | holding | — | — | — | Jul 9, 2015 | Mar 30, 2025 | Common Shares | 35,000 | — | D |
| WarrantsF1 | $2.60 | holding | — | — | — | Feb 29, 2012 | Mar 1, 2017 | Common Shares | 2,500 | — | D |
Explanation of responses
- F1Expressed in Canadian dollars.
- F2Date reflected above is date of grant. The option vests as follows: 1/4 on 2/5/2014; 1/4 on 2/5/2015; 1/4 on 2/5/2016; and 1/4 on 2/5/2017.
- F3Date reflected above is date of grant. The option vests as follows: 1/3 on 3/30/2016; 1/3/ on 3/30/2017; and 1/3 on 3/30/2018.