SEC Form 4 · accession 0000899243-17-000693
REGENXBIO Inc. · RGNX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Vittal Vasista
Officer — Chief Financial Officer
Period of report
Jan 4, 2017
Accepted (ET)
Jan 6, 2017 · 5:00 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001590877
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Dec 31, 2016 | A | 1,372 | $6.7915 | A | 116,812 | 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 | $19.50 | Jan 4, 2017 | A | 50,000 | A | — | Jan 3, 2017 | Common Stock | 50,000 | 50,000 | D |
Explanation of responses
- F1The reporting person is voluntarily reporting the acquisition of shares of the Issuer's common stock pursuant to the REGENXBIO Inc. Employee Stock Purchase Plan ("ESPP") for the ESPP purchase period of July 1, 2016 through December 31, 2016. This transaction is exempt under Rule 16b-3(c).
- F2In accordance with the ESPP, these shares were purchased based on 85% of the closing price of the Issuer's common stock on July 1, 2016.
- F325% of the shares subject to this option shall vest after 12 months of continuous service with the Issuer. The balance will vest in equal monthly installments over the 36 months following 1/4/2018 while the optionee provides continuous service to the Issuer.