SEC Form 4 · accession 0000899243-15-006600
Spark Therapeutics, Inc. · ONCE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Coelho Rogerio Vivaldi
Officer — Chief Commercial Officer
Period of report
Oct 7, 2015
Accepted (ET)
Oct 9, 2015 · 7:21 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001609351
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Oct 7, 2015 | M | 10,000 | $3.45 | A | 16,383 | D | |
| Common Stock | Oct 7, 2015 | M | 30,000 | $7.50 | A | 46,383 | D | |
| Common StockF1 | Oct 7, 2015 | S | 40,000 | $48.81 | D | 6,383 | D | |
| Common Stock | Oct 7, 2015 | S | 1,000 | $50.40 | D | 5,383 | 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)F2 | $3.45 | Oct 7, 2015 | M | 5,000 | D | — | Jun 10, 2024 | Common Stock | 5,000 | 11,116 | D |
| Stock Option (right to buy)F3 | $3.45 | Oct 7, 2015 | M | 5,000 | D | — | Aug 11, 2024 | Common Stock | 5,000 | 12,203 | D |
| Stock Option (right to buy)F4 | $7.50 | Oct 7, 2015 | M | 30,000 | D | — | Dec 1, 2024 | Common Stock | 30,000 | 202,519 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $48.65 to $49.56, inclusive. The reporting person undertakes to provide to Spark Therapeutics, Inc., any security holder of Spark Therapeutics, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (1) to this Form 4.
- F2This option was granted on June 10, 2014 and vests over four years, with 25% of the shares underlying the option vesting on April 1, 2015 and the remainder vesting quarterly thereafter.
- F3This option was granted on August 11, 2014 and vests over four years with 25% of the shares underlying the option vesting on May 24, 2015 and the remainder vesting quarterly thereafter.
- F4This option was granted on December 1, 2014 and vests over four years with 25% of the shares underlying the option vesting on April 1, 2015 and the remainder vesting quarterly thereafter.