SEC Form 4 · accession 0001192482-17-000259
Spark Therapeutics, Inc. · ONCE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Period of report
Sep 27, 2017
Accepted (ET)
Sep 27, 2017 · 6:22 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 | Sep 27, 2017 | M | 20,250 | $23.00 | A | 3,948,957 | D | |
| Common Stock | Sep 27, 2017 | M | 6,000 | $56.22 | A | 3,954,957 | 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)F1 | $23.00 | Sep 27, 2017 | M | 20,250 | D | — | Jan 30, 2025 | Common Stock | 20,250 | 0 | I |
| Stock Option (right to buy)F2 | $56.22 | Sep 27, 2017 | M | 6,000 | D | Jun 1, 2017 | May 31, 2026 | Common Stock | 6,000 | 0 | I |
Explanation of responses
- F1This option was granted on January 30, 2015 to A. Lorris Betz, MD, Ph.D., a member of the Board of Trustees and Executive Committee of the Reporting Person and a former member of the Board of Directors of the Issuer. The option vests quarterly over four years. Dr. Betz holds this option for the benefit of the Reporting Person.
- F2This option was granted on June 1, 2016 to Dr. Betz, who holds this option for the benefit of the Reporting Person.