SEC Form 4 · accession 0001104659-17-019393
SELECTA BIOSCIENCES INC · SELB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Omid Farokhzad
Director
Period of report
Mar 23, 2017
Accepted (ET)
Mar 27, 2017 · 4:02 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001453687
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Mar 23, 2017 | M | 51,981 | $3.44 | A | 179,985 | D | |
| Common Stock | Mar 23, 2017 | M | 8,019 | $7.02 | A | 188,004 | D | |
| Common StockF1 | holding | — | — | — | 25,626 | I | See Footnote | |
| Common StockF2 | holding | — | — | — | 202,051 | 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 | $3.44 | Mar 23, 2017 | M | 51,981 | D | — | Jan 23, 2022 | Common Stock | 51,981 | 9,932 | D |
| Stock Option (right to buy)F4 | $7.02 | Mar 23, 2017 | M | 8,019 | D | — | Mar 8, 2026 | Common Stock | 8,019 | 17,622 | D |
Explanation of responses
- F1These securities are held by BioDynamics Core, L.P., which is managed by BioDynamics, LLC, of which the Reporting Person is a member. The Reporting Person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein, and the filing of this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
- F2These securities are held by SAF-SEL Trust, for which the Reporting Person's spouse serves as a trustee. The Reporting Person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein, and the filing of this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
- F3All shares underlying this option are fully vested.
- F4This option vests in 48 substantially equal monthly installments beginning on January 1, 2016.