SEC Form 4 · accession 0001209191-16-148045
Viridian Therapeutics, Inc.\DE · VRDN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Tamara A Seymour
Officer — CFO, Secretary, Treasurer
Period of report
Oct 31, 2016
Accepted (ET)
Nov 2, 2016 · 8:39 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 | 46,000 | — | A | 72,994 | I | By Trust |
| Common StockF2 | Oct 31, 2016 | F | 20,967 | $0.36 | D | 52,027 | I | By Trust |
| Common StockF1 | Oct 31, 2016 | M | 100,000 | — | A | 152,027 | I | By Trust |
| Common StockF2 | Oct 31, 2016 | F | 45,580 | $0.36 | D | 106,447 | I | By Trust |
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 | — | Oct 31, 2016 | M | 46,000 | D | — | — | Common Stock | 46,000 | 0 | D |
| Restricted Stock UnitsF1,F4 | — | Oct 31, 2016 | M | 100,000 | D | — | — | Common Stock | 100,000 | 0 | D |
Explanation of responses
- F1Restricted stock units converted into common stock on a one-for-one basis.
- F2Shares withheld to satisfy tax withholding obligations.
- F3On August 4, 2014, the reporting person was granted 92,000 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 the remaining 46,000 restricted stock units in full.
- F4On March 28, 2016, the reporting person was granted 100,000 restricted stock units. In connection with the execution of the Merger Agreement, the Compensation Committee of the Issuer's Board of Directors accelerated the vesting of these restricted stock units in full.