SEC Form 4 · accession 0001609351-18-000063
Spark Therapeutics, Inc. · ONCE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anand Mehra
Director
Period of report
May 30, 2018
Accepted (ET)
Jun 1, 2018 · 4:03 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 StockF1 | May 31, 2018 | M | 1,500 | — | A | 1,500 | D | |
| Common StockF2 | holding | — | — | — | 481,270 | I | See Footnote |
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)F3 | $81.53 | May 30, 2018 | A | 4,000 | A | — | May 29, 2028 | Common Stock | 4,000 | 4,000 | D |
| Restricted Stock UnitsF4,F5 | — | May 30, 2018 | A | 1,500 | A | — | — | Common Stock | 1,500 | 1,500 | D |
| Restricted Stock UnitsF4,F6 | — | May 31, 2018 | M | 1,500 | D | — | — | Common Stock | 1,500 | 0 | D |
Explanation of responses
- F1Each restricted stock unit converted into one share of Spark Therapeutics, Inc. common stock.
- F2The securities are owned directly by Sofinnova Venture Partners VIII, L.P. ("SVP VIII"). Sofinnova Management VIII, L.L.C. ("SM VIII"), the general partner of SVP VIII, and Anand Mehra, a director of the Issuer, James I. Healy, and Michael Powell, the managing members of SM VIII, may be deemed to have shared voting and dispositive power over the shares owned by SVP VIII. Such persons and entities disclaim beneficial ownership over the shares owned by SVP VIII except to the extent of any pecuniary interest therein.
- F3100% of the shares vest on the one-year anniversary of the grant date.
- F4Each restricted stock unit represents a contingent right to receive one share of Spark Therapeutics, Inc. common stock.
- F5100% of the restricted stock units vest on the one-year anniversary of the grant date. Vested shares will be delivered to the reporting person on the vesting date.
- F6On May 31, 2017, the reporting person was granted 1,500 restricted stock units that vest on the one-year anniversary of the grant date. Vested shares are delivered to the reporting person on the vesting date.