SEC Form 4 · accession 0001609351-17-000057
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
Jun 7, 2017
Accepted (ET)
Jun 8, 2017 · 6:27 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 | Jun 7, 2017 | M | 4,242 | $3.45 | A | 9,567 | D | |
| Common Stock | Jun 7, 2017 | M | 758 | $3.45 | A | 10,325 | D | |
| Common Stock | Jun 7, 2017 | S | 5,000 | $55.00 | 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)F2 | $3.45 | Jun 7, 2017 | M | 4,242 | D | — | Jun 9, 2024 | Common Stock | 4,242 | 5,641 | D |
| Employee Stock Option (right to buy)F3 | $3.45 | Jun 7, 2017 | M | 758 | D | — | Jul 1, 2024 | Common Stock | 758 | 17,671 | 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.
- F225% vests November 11, 2014 and the remainder vests in equal quarterly installments over the following three years following November 11, 2014.
- F325% vests May 24, 2015 and the remainder vests in equal quarterly installments over the following three years following May 24, 2015.