SEC Form 4 · accession 0001609351-19-000029
Spark Therapeutics, Inc. · ONCE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Federico Mingozzi
Officer — Chief Scientific Officer
Period of report
Jun 26, 2018
Accepted (ET)
Jan 23, 2019 · 5:18 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 | Jun 26, 2018 | M | 8,375 | — | A | 8,375 | D | |
| Common Stock | Jun 26, 2018 | F | 2,627 | $87.98 | D | 5,748 | D | |
| Common StockF1 | Jan 18, 2019 | M | 2,000 | — | A | 7,748 | D | |
| Common Stock | Jan 18, 2019 | F | 733 | $45.08 | D | 7,015 | 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 | — | Jun 26, 2018 | M | 8,375 | D | — | — | Common Stock | 8,375 | 25,125 | D |
| Restricted Stock UnitsF2,F4 | — | Jan 18, 2019 | M | 2,000 | D | — | — | Common Stock | 2,000 | 6,000 | 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 September 29, 2017, the reporting person was granted 33,500 restricted stock units to vest in four equal installments. The first installment vested June 26, 2018 with the remaining three installments vesting annually thereafter. Vested shares will be delivered to the reporting person annually on the vesting date.
- F4On January 18, 2018, the reporting person was granted 8,000 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.