SEC Form 4 · accession 0000899243-15-006424
Clovis Oncology, Inc. · CLVS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lindsey Rolfe
Officer — See Remarks
Period of report
Oct 5, 2015
Accepted (ET)
Oct 7, 2015 · 4:12 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001466301
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Oct 5, 2015 | M | 4,000 | $3.08 | A | 4,000 | D | |
| Common StockF1,F5 | Oct 5, 2015 | S | 1,057 | $91.836 | D | 2,943 | D | |
| Common StockF2,F5 | Oct 5, 2015 | S | 2,221 | $93.006 | D | 722 | D | |
| Common StockF3,F5 | Oct 5, 2015 | S | 400 | $93.924 | D | 322 | D | |
| Common StockF4,F5 | Oct 5, 2015 | S | 322 | $96.126 | D | 0 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee stock option (right to buy)F6 | $3.08 | Oct 5, 2015 | M | 4,000 | D | — | Apr 7, 2020 | Common Stock | 4,000 | 27,034 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $91.320 to $92.320 inclusive. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F2This transaction was executed in multiple trades at prices ranging from $92.420 to $93.220 inclusive. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F3This transaction was executed in multiple trades at prices ranging from $93.750 to $94.425 inclusive. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F4This transaction was executed in multiple trades at prices ranging from $95.940 to $96.430 inclusive. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected
- F5The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 4, 2015.
- F6The option vested as to 25% of the shares on April 1, 2011, and the remainder vested in substantially equal installments over the 36 months immediately following such date.
Remarks
Chief Medical Officer and Executive Vice President of Clinical and Preclinical Development and Pharmacovigilance