SEC Form 4 · accession 0001594631-17-000005
GENOCEA BIOSCIENCES, INC. · GNCA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
George Siber
Director
Period of report
May 18, 2017
Accepted (ET)
May 22, 2017 · 4:47 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001457612
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | May 18, 2017 | M | 1,680 | $2.38 | A | 3,697 | D | |
| Common Stock | May 18, 2017 | M | 10,084 | $1.67 | A | 13,781 | D | |
| Common Stock | May 18, 2017 | M | 19,281 | $2.38 | A | 33,062 | D | |
| Common StockF1 | May 18, 2017 | P | 31,045 | $6.02 | D | 2,017 | D | |
| Common Stock | May 19, 2017 | M | 11,230 | $2.38 | A | 13,247 | D | |
| Common Stock | May 19, 2017 | M | 11,057 | $2.86 | A | 24,304 | D | |
| Common StockF2 | May 19, 2017 | P | 22,287 | $6.07 | D | 2,017 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option to purchase Common StockF3 | $1.67 | May 18, 2017 | M | 10,084 | D | — | Jun 12, 2017 | Common Stock | 10,084 | 0 | D |
| Option to purchase Common StockF3 | $2.38 | May 18, 2017 | M | 1,680 | D | — | Jun 18, 2018 | Common Stock | 1,680 | 0 | D |
| Option to purchase Common StockF4 | $2.38 | May 18, 2017 | M | 19,281 | D | — | Jun 30, 2019 | Common Stock | 19,281 | 11,230 | D |
| Option to purchase Common StockF4 | $2.38 | May 19, 2017 | M | 11,230 | D | — | Jun 30, 2019 | Common Stock | 11,230 | 0 | D |
| Option to purchase Common StockF5 | $2.86 | May 19, 2017 | M | 11,057 | D | — | Dec 17, 2020 | Common Stock | 11,057 | 0 | D |
Explanation of responses
- F1The price reported is a weighted average price. These shares were sold in multiple transactions ranging from $6.00 to $6.05, inclusive. The Reporting Person undertakes to provide to the Company, any security holder of the Company or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.
- F2The price reported is a weighted average price. These shares were sold in multiple transactions ranging from $6.00 to $6.15, inclusive. The Reporting Person undertakes to provide to the Company, any security holder of the Company or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.
- F3The options of registrant's common stock vested as to 25% of the shares on the one-year anniversary of the grant and in equal monthly installments over the next three years thereafter.
- F4The options of registrant's common stock vested in equal monthly installments over the first four years after the grant.
- F5The options of registrant's common stock vested on the date of the grant.