SEC Form 4 · accession 0001209191-17-027173
Juno Therapeutics, Inc. · JUNO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sunil Agarwal
Officer — President of R & D
Period of report
Apr 13, 2017
Accepted (ET)
Apr 17, 2017 · 7:58 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001594864
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Apr 13, 2017 | A | 96,627 | $0.00 | A | 96,627 | D | |
| Common StockF2 | Apr 13, 2017 | F | 4,793 | $24.01 | D | 91,834 | 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 | $24.01 | Apr 13, 2017 | A | 313,797 | A | — | Apr 12, 2027 | Common Stock | 313,797 | 313,797 | D |
Explanation of responses
- F1Represents restricted stock units ("RSUs") granted pursuant to the 2014 Equity Incentive Plan. 12.5% of the RSUs vested on April 13, 2017, 31.25% of the RSUs vest on April 13, 2018, and 18.75% of the RSUs vest on each of the second, third, and fourth anniversaries of April 13, 2017.
- F2Shares withheld by the issuer to satisfy tax withholding obligations on the vesting of RSUs.
- F325% of the shares subject to the option shall vest and become exercisable on April 13, 2018 and 1/48th of the shares subject to the option shall vest and become exercisable monthly thereafter.