SEC Form 4 · accession 0001609351-16-000073
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
Jul 15, 2016
Accepted (ET)
Jul 19, 2016 · 4:23 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 | Jul 15, 2016 | M | 1,000 | $3.45 | A | 19,716 | D | |
| Common Stock | Jul 15, 2016 | M | 1,000 | $3.45 | A | 20,716 | D | |
| Common Stock | Jul 15, 2016 | M | 5,000 | $7.50 | A | 25,716 | D | |
| Common StockF2 | Jul 15, 2016 | S | 5,600 | $52.96 | D | 20,116 | D | |
| Common StockF3 | Jul 15, 2016 | S | 1,400 | $53.32 | D | 18,716 | 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)F4 | $3.45 | Jul 15, 2016 | M | 1,000 | D | — | Jun 10, 2024 | Common Stock | 1,000 | 9,116 | D |
| Stock Option (right to buy)F5 | $3.45 | Jul 15, 2016 | M | 1,000 | D | — | Aug 11, 2024 | Common Stock | 1,000 | 10,203 | D |
| Stock Option (right to buy)F6 | $7.50 | Jul 15, 2016 | M | 5,000 | D | — | Dec 1, 2024 | Common Stock | 5,000 | 155,186 | D |
Explanation of responses
- F1The sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on October 16, 2015.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $52.25 to $53.24, 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 (2) to this Form 4.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $53.25 to $53.50, 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 (3) to this Form 4.
- F4This 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.
- F5This 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.
- F6This 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.