SEC Form 4 · accession 0000899243-15-007336
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 28, 2015
Accepted (ET)
Oct 30, 2015 · 4:15 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 28, 2015 | M | 4,000 | $3.08 | A | 4,000 | D | |
| Common StockF1,F5 | Oct 28, 2015 | S | 500 | $95.779 | D | 3,500 | D | |
| Common StockF2,F5 | Oct 28, 2015 | S | 1,300 | $97.313 | D | 2,200 | D | |
| Common StockF3,F5 | Oct 28, 2015 | S | 1,962 | $98.906 | D | 238 | D | |
| Common StockF4,F5 | Oct 28, 2015 | S | 238 | $99.218 | 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 28, 2015 | M | 4,000 | D | — | Apr 7, 2020 | Common Stock | 4,000 | 23,034 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $95.365 to $96.300 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 $97.000 to $97.920 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 $98.120 to $99.120 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 $99.150 to $99.290 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