SEC Form 4 · accession 0001140361-18-032008
Arbutus Biopharma Corp · ABUS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael J. Sofia
Officer — Chief Scientific Officer
Period of report
Jul 6, 2018
Accepted (ET)
Jul 10, 2018 · 1:11 pm EDT
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 | Jul 6, 2018 | S | 10,000 | $8.45 | D | 1,523,403 | D | |
| Common SharesF2 | Jul 9, 2018 | S | 10,000 | $8.906 | D | 1,513,403 | D | |
| Common Shares | holding | — | — | — | 171,412 | I | Held by Irrevocable Deed of Trust of Michael J. Sofia dated December 22, 2014 (the "Trust") |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 11, 2017.
- F2The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $8.50 to $9.35, inclusive. The reporting person undertakes to provide to Arbutus Biopharma Corp., any security holder of Arbutus Biopharma Corp., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the rages set forth in this footnote.