SEC Form 4 · accession 0001604689-17-000006
GENOCEA BIOSCIENCES, INC. · GNCA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jonathan Poole
Officer — Chief Financial Officer
Period of report
Jul 24, 2017
Accepted (ET)
Jul 24, 2017 · 5:30 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 | Jul 24, 2017 | M | 45,000 | $3.09 | A | 84,247 | D | |
| Common StockF2 | Jul 24, 2017 | S | 45,000 | $6.00 | D | 39,247 | D |
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 | $3.09 | Jul 24, 2017 | M | 45,000 | D | — | Feb 1, 2026 | Common Stock | 45,000 | 90,000 | D |
Explanation of responses
- F1The reported transactions were effected pursuant to a Rule 10b5-1 trading plan adopted on May 10, 2017 by the reporting person.
- F2These shares were sold in multiple transactions at a price of $6.00. 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.
- F3The option was granted on 2/2/2016 and vests in 48 equal monthly installments beginning on the first monthly anniversary of the grant date.