SEC Form 4 · accession 0001209191-16-148044
Viridian Therapeutics, Inc.\DE · VRDN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Samuel D Riccitelli
Officer — President & CEO · Director
Period of report
Oct 31, 2016
Accepted (ET)
Nov 2, 2016 · 8:37 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001590750
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Oct 31, 2016 | M | 200,000 | $0.00 | A | 674,530 | D | |
| Common StockF2 | Oct 31, 2016 | F | 103,160 | $0.36 | D | 571,370 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F3 | $0.00 | Oct 31, 2016 | M | 200,000 | D | — | — | Common Stock | 200,000 | 0 | D |
Explanation of responses
- F1The restricted stock units reported herein converted into common stock on a one-for-one basis.
- F2Shares withheld to satisfy tax withholding obligations.
- F3On March 28, 2016, the reporting person was granted 200,000 restricted stock units. In connection with the execution of the Agreement and Plan of Merger and Reorganization, dated October 31, 2016, by and among Signal Genetics, Inc. (the "Issuer"), Signal Merger Sub, Inc. and Miragen Therapeutics, Inc. (the "Merger Agreement"), the Compensation Committee of the Issuer's Board of Directors accelerated the vesting of these restricted stock units in full.