SEC Form 4 · accession 0001209191-16-154372
SOPHIRIS BIO INC. · SPHS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Randall E Woods
Officer — President & Chief Exec Officer · Director
Period of report
Dec 7, 2016
Accepted (ET)
Dec 9, 2016 · 4:08 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001563855
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock (Right to Buy)F1 | $2.74 | Dec 7, 2016 | A | 398,000 | A | Dec 7, 2017 | Dec 6, 2026 | Common Stock | 398,000 | 398,000 | D |
Explanation of responses
- F133% of the shares subject to the option shall vest one year after the date of grant. The remainder shall vest monthly thereafter over the next two years until fully vested on December 7, 2019.