SEC Form 4 · accession 0001209191-15-010373

Spark Therapeutics, Inc. · ONCE

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Feb 4, 2015

Accepted (ET)

Feb 6, 2015 · 4:43 pm EST

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^F2,F1	Feb 4, 2015	C	31,559	—	A	31,559	I	See footnote
Common Stock	Feb 4, 2015	P	5,000	$23.00	A	11,214	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Series B Preferred Stock^F1,F2	—	Feb 4, 2015	A	503	A	—	—	Common Stock	503	31,559	I
Series B Preferred Stock^F1,F2	—	Feb 4, 2015	C	31,559	D	—	—	Common Stock	31,559	0	I

F1These shares are held by Sigal Family Investments LLC. Elliott Sigal, a member of the issuer's board of directors, is a manager of Sigal Family Investments LLC and may be deemed to have voting and investment power over the shares held by Sigal Family Investments LLC. Dr. Sigal disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein.
F2Shares of Series B Preferred Stock, while outstanding, accrued stock dividends payable in additional shares of Series B Preferred Stock at a rate of 8% per annum from November 23, 2014. These accrued stock dividends became payable in connection with the closing of the issuer's initial public offering pursuant to a registration statement on Form S-1 under the Securities Act of 1933, as amended (the "IPO"). The outstanding shares of Series B Preferred Stock, including the 503 shares issued as accrued stock dividends, converted into Spark Therapeutics, Inc. common stock upon the closing of the issuer's IPO, and have no expiration date.