SEC Form 4 · accession 0001567619-18-003762
Loxo Oncology, Inc. · LOXO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jacob Van Naarden
Officer — Chief Business Officer
Period of report
Oct 3, 2018
Accepted (ET)
Oct 5, 2018 · 4:46 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001581720
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Oct 3, 2018 | M | 5,500 | $3.648 | A | 19,200 | D | |
| Common StockF2,F3 | Oct 3, 2018 | S | 2,000 | $165.1303 | D | 17,200 | D | |
| Common StockF2,F4 | Oct 3, 2018 | S | 400 | $165.885 | D | 16,800 | D | |
| Common StockF2,F5 | Oct 3, 2018 | S | 500 | $167.192 | D | 16,300 | D | |
| Common StockF2,F6 | Oct 3, 2018 | S | 2,300 | $168.8465 | D | 14,000 | D | |
| Common StockF2,F7 | Oct 3, 2018 | S | 300 | $169.40 | D | 13,700 | D | |
| Common Stock | Oct 4, 2018 | M | 4,500 | $3.648 | A | 18,200 | D | |
| Common StockF2,F8 | Oct 4, 2018 | S | 600 | $160.6217 | D | 17,600 | D | |
| Common StockF2,F9 | Oct 4, 2018 | S | 1,100 | $161.5205 | D | 16,500 | D | |
| Common StockF2,F10 | Oct 4, 2018 | S | 1,194 | $162.701 | D | 15,306 | D | |
| Common StockF2,F11 | Oct 4, 2018 | S | 1,006 | $163.7845 | D | 14,300 | D | |
| Common StockF2,F12 | Oct 4, 2018 | S | 600 | $164.6767 | D | 13,700 | 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)F13 | $3.648 | Oct 3, 2018 | M | 5,500 | D | — | Jun 18, 2024 | Common Stock | 5,500 | 52,769 | D |
| Employee Stock Option (Right to Buy)F13 | $3.648 | Oct 4, 2001 | M | 4,500 | D | — | Jun 18, 2024 | Common Stock | 4,500 | 48,269 | D |
Explanation of responses
- F1The transactions reported on this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the reporting person.
- F10The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $162.22 to $163.21 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F11The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $163.38 to $164.31 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F12The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $164.39 to $165.05 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F13The stock option vested and became exercisable as to 25% of the shares subject to the option on May 12, 2015, and thereafter vests as to 1/48th of the shares in equal monthly installments, until such time as the option is 100% vested, subject to the continuing employment of the Reporting Person on each vesting date.
- F2Represents the aggregate of sales effected on the same day at different prices.
- F3The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $164.70 to $165.60 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F4The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $165.82 to $166.08 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F5The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $167.09 to $167.57 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F6The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $168.30 to $169.27 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F7The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $169.39 to $169.41 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F8The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $160.22 to $161.19 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F9The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $161.22 to $162.13 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.