SEC Form 4 · accession 0001562180-18-003984
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
Sep 17, 2018
Accepted (ET)
Sep 19, 2018 · 4:26 pm EDT
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 StockF2 | Sep 17, 2018 | S | 1,561 | $70.43 | D | 120,722 | D | |
| Common StockF3 | Sep 17, 2018 | S | 200 | $72.03 | D | 120,522 | D | |
| Common StockF4 | Sep 17, 2018 | S | 1,200 | $73.40 | D | 119,322 | D | |
| Common StockF5 | Sep 17, 2018 | S | 710 | $74.02 | D | 118,612 | D | |
| Common StockF6 | Sep 17, 2018 | S | 700 | $75.59 | D | 117,912 | D | |
| Common StockF7 | Sep 17, 2018 | S | 1,479 | $76.79 | D | 116,433 | D | |
| Common StockF8 | Sep 17, 2018 | S | 600 | $77.87 | D | 115,833 | D | |
| Common StockF9 | Sep 17, 2018 | S | 450 | $78.64 | D | 115,383 | D | |
| Common StockF10 | Sep 17, 2018 | S | 500 | $79.63 | D | 114,883 | D | |
| Common Stock | Sep 17, 2018 | S | 100 | $80.80 | D | 114,783 | D | |
| Common Stock | Sep 17, 2018 | M | 30,000 | $0.85 | A | 144,783 | 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)F11,F12 | $0.85 | Sep 17, 2018 | M | 30,000 | D | — | Sep 23, 2024 | Common Stock | 30,000 | 204,900 | D |
Explanation of responses
- F1This transaction was effected pursuant to a Rule 10b5-1 trading plan.
- F10This transaction was executed in multiple trades at prices ranging from $79.40 to $80.00. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F11The previously granted option, representing a right to purchase a total of 424,900 shares, became exercisable as follows: 284,683 of the shares subject to the option are initial shares ("Initial Shares") and 140,217 of the shares subject to the option are contingent shares ("Contingent Shares"). 72,235 of the Initial Shares vested on September 17, 2014, 53,112 of the Initial Shares vested on September 17, 2015 and an additional 4,426 of the Initial Shares vested upon each month of continuous service to the Company thereafter. 25% of the Contingent Shares were deemed vested as of September 17, 2014 on January 13, 2015 due to a subsequent event. The remainder of the Contingent Shares vested over four years of service following September 17, 2014, with 25% of the remaining 75% of Contingent Shares having vested on September 17, 2015 and the remaining Contingent Shares having vested in 36 equal monthly installments thereafter.
- F12(Continued from footnote 11) Notwithstanding the foregoing, 59,533 shares subject to this option that would have otherwise vested monthly between January 2018 and September 2018 were deemed vested as of December 31, 2015 on January 28, 2016 due to subsequent events.
- F2This transaction was executed in multiple trades at prices ranging from $70.05 to $70.85. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F3This transaction was executed in multiple trades at prices ranging from $71.55 to $72.50. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F4This transaction was executed in multiple trades at prices ranging from $72.80 to $73.75. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F5This transaction was executed in multiple trades at prices ranging from $73.85 to $74.35. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F6This transaction was executed in multiple trades at prices ranging from $75.00 to $75.90. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F7This transaction was executed in multiple trades at prices ranging from $76.35 to $77.25. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F8This transaction was executed in multiple trades at prices ranging from $77.40 to $78.15. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F9This transaction was executed in multiple trades at prices ranging from $78.40 to $78.95. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.