SEC Form 4 · accession 0001609351-19-000023
Spark Therapeutics, Inc. · ONCE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel Faga
Officer — Chief Business Officer
Period of report
Jan 18, 2019
Accepted (ET)
Jan 23, 2019 · 5:14 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 StockF1 | Jan 18, 2019 | M | 2,000 | — | A | 3,121 | D | |
| Common Stock | Jan 18, 2019 | F | 766 | $45.08 | D | 2,355 | D | |
| Common StockF1 | Jan 18, 2019 | M | 2,500 | — | A | 4,855 | D | |
| Common Stock | Jan 18, 2019 | F | 823 | $45.08 | D | 4,032 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2,F3 | — | Jan 18, 2019 | M | 2,000 | D | — | — | Common Stock | 2,000 | 4,000 | D |
| Restricted Stock UnitsF2,F4 | — | Jan 18, 2019 | M | 2,500 | D | — | — | Common Stock | 2,500 | 7,500 | D |
Explanation of responses
- F1Each restricted stock unit converted into one share of Spark Therapeutics, Inc. common stock.
- F2Each restricted stock unit represents a contingent right to receive one share of Spark Therapeutics, Inc. common stock.
- F3On January 18, 2017, the reporting person was granted 8,000 restricted stock units that vest in four equal annual installments beginning January 18, 2018. Vested shares will be delivered to the reporting person annually on the vesting date.
- F4On January 18, 2018, the reporting person was granted 10,000 restricted stock units that vest in four equal annual installments beginning January 18, 2019. Vested shares will be delivered to the reporting person annually on the vesting date.