SEC Form 4 · accession 0001209191-18-007206
Juno Therapeutics, Inc. · JUNO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert Azelby
Officer — EVP & Chief Commercial Officer
Period of report
Jan 31, 2018
Accepted (ET)
Feb 2, 2018 · 7:26 pm EST
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 | Jan 31, 2018 | A | 25,639 | $0.00 | A | 96,471 | D | |
| Common Stock | Feb 1, 2018 | M | 4,167 | $51.76 | A | 100,638 | D | |
| Common StockF2 | Feb 1, 2018 | S | 4,167 | $85.78 | D | 96,471 | 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 | $51.76 | Feb 1, 2018 | M | 4,167 | D | — | Oct 31, 2025 | Common Stock | 4,167 | 93,294 | D |
Explanation of responses
- F1Represents restricted stock units ("RSUs") granted pursuant to the 2014 Equity Incentive Plan. 25% of the RSUs vest on each anniversary of January 31, 2018.
- F2The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 20, 2017.
- F325% of the shares subject to the option vested and became exercisable on November 1, 2016 and 1/48th of the shares subject to the option vests and becomes exercisable monthly thereafter.