SEC Form 4 · accession 0001209191-16-142470
Foundation Medicine, Inc. · FMI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven J. Kafka
Officer — President & COO
Period of report
Sep 20, 2016
Accepted (ET)
Sep 22, 2016 · 4:36 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001488613
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Sep 20, 2016 | S | 1,619 | $23.70 | D | 108,112 | D | |
| Common Stock | Sep 20, 2016 | M | 2,344 | $4.16 | A | 110,456 | D | |
| Common StockF1,F2 | Sep 20, 2016 | S | 2,344 | $23.70 | D | 108,112 | D | |
| Common Stock | Sep 20, 2016 | M | 5,506 | $4.16 | A | 113,618 | D | |
| Common StockF1,F2 | Sep 20, 2016 | S | 5,506 | $23.70 | D | 108,112 | 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 | $4.16 | Sep 20, 2016 | M | 2,344 | D | — | Mar 7, 2023 | Common Stock | 2,344 | 781 | D |
| Stock Option (right to buy)F4 | $4.16 | Sep 20, 2016 | M | 5,506 | D | — | Mar 7, 2023 | Common Stock | 5,506 | 5,168 | D |
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 19, 2016.
- F2The price reported in this Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $23.43 to $23.95, inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the ranges set forth in this footnote.
- F3This is an incentive stock option portion of an option granted on March 7, 2013 that vests in equal quarterly installments beginning on June 7, 2013 until fully vested on March 7, 2017.
- F4This is a non-qualified portion of an option granted on March 7, 2013 that vested 25% on January 2, 2014 and then vests in equal quarterly installments until fully vested on January 2, 2017.