SEC Form 4 · accession 0001609351-17-000029
Spark Therapeutics, Inc. · ONCE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Katherine A High
Officer — See Remarks · Director
Period of report
Apr 24, 2017
Accepted (ET)
Apr 26, 2017 · 5:48 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 | Apr 24, 2017 | M | 2,060 | $3.45 | A | 212,060 | D | |
| Common StockF1,F2 | Apr 24, 2017 | S | 2,060 | $55.01 | D | 210,000 | D | |
| Common Stock | Apr 25, 2017 | M | 12,940 | $3.45 | A | 222,940 | D | |
| Common StockF1,F3 | Apr 25, 2017 | S | 12,830 | $55.38 | D | 210,110 | D | |
| Common StockF1,F4 | Apr 25, 2017 | S | 110 | $56.01 | D | 210,000 | 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)F5 | $3.45 | Apr 24, 2017 | M | 2,060 | D | — | Jul 2, 2024 | Common Stock | 2,060 | 156,189 | D |
| Stock Option (right to buy)F5 | $3.45 | Apr 25, 2017 | M | 12,940 | D | — | Jul 2, 2024 | Common Stock | 12,940 | 143,249 | 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 February 28, 2017.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $55.00 to $55.02, 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 $55.00 to $55.96, 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.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $56.00 to $56.01, 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 (4) to this Form 4.
- F5This option was granted on July 2, 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.
Remarks
President and Chief Scientific Officer