SEC Form 4 · accession 0001609351-17-000019
Spark Therapeutics, Inc. · ONCE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph La Barge
Officer — General Counsel
Period of report
Mar 1, 2017
Accepted (ET)
Mar 2, 2017 · 4:01 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 | Mar 1, 2017 | M | 5,000 | $3.45 | A | 10,325 | D | |
| Common StockF2 | Mar 1, 2017 | S | 2,734 | $64.17 | D | 7,591 | D | |
| Common StockF3 | Mar 1, 2017 | S | 2,266 | $64.70 | D | 5,325 | D | |
| Common Stock | holding | — | — | — | 200 | I | Held by Reporting Person's immediate family members |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F4 | $3.45 | Mar 1, 2017 | M | 5,000 | D | — | Jun 9, 2024 | Common Stock | 5,000 | 9,883 | 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 June 3, 2016, as amended.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $63.48 to $64.47, 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 $64.48 to $65.00, 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.
- F425% vests November 11, 2014 and the remainder vests in equal quarterly installments over the following three years following November 11, 2014