SEC Form 3 · accession 0001209191-15-026612
Arbutus Biopharma Corp · ABUS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Keith S Manchester
Director
Period of report
Mar 4, 2015
Accepted (ET)
Mar 16, 2015 · 5:49 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 Stock, no par valueF1 | holding | — | — | — | 0 | I | See Footnote |
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)F3,F2 | $0.56 | holding | — | — | — | — | Nov 13, 2024 | Common Stock | 54,915 | — | D |
Explanation of responses
- F1Does not include 16,013,540 shares owned by Roivant Sciences Ltd. ("Roivant"). Dr. Manchester is one of three directors of Roivant. Dr. Manchester expressly disclaims beneficial ownership of the shares owned by Roivant, except to the extent of his pecuniary interest therein.
- F2Immediately exercisable.
- F3Dr. Manchester is the Head of Life Sciences and a Portfolio Manager at QVT Financial LP and serves as a director of Roivant on behalf of QVT Financial LP and its affiliates. Dr. Manchester holds these stock options for the benefit of certain funds managed by QVT Financial LP.
Remarks
Exhibit List - Exhibit 24 - Power of Attorney