SEC Form 5 · accession 0000899243-18-003749
Global Blood Therapeutics, Inc. · GBT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lesley Ann Calhoun
Officer — See Remarks
Period of report
Dec 31, 2017
Accepted (ET)
Feb 13, 2018 · 9:27 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001629137
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Aug 2, 2017 | S | 1,552 | $27.23 | D | 0 | D | |
| Common StockF2 | Sep 1, 2017 | M | 300 | — | A | 300 | D | |
| Common Stock | Sep 1, 2017 | S | 113 | $30.30 | D | 187 | 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)F3 | $29.75 | Mar 1, 2017 | A | 3,600 | A | — | Feb 28, 2026 | Common Stock | 3,600 | 3,600 | D |
| Restricted Stock UnitsF2,F4 | — | Mar 1, 2017 | A | 2,400 | A | — | — | Common Stock | 2,400 | 2,400 | D |
| Restricted Stock UnitsF2,F4 | — | Sep 1, 2017 | M | 300 | D | — | — | Common Stock | 300 | 2,100 | D |
Explanation of responses
- F1Includes 1,552 shares acquired under the Issuer's Employee Stock Purchase Plan on July 31, 2017 in a transaction exempt under Rule 16b-3.
- F2Each restricted stock unit represents a contingent right to receive one share of GBT common stock.
- F3The Stock Option becomes exercisable in sixteen equal quarterly installments after March 1, 2017 until fully vested on March 1, 2021, subject to the Reporting Person's continuous service with the Issuer. The Stock Option is subject to accelerated vesting upon termination without cause or resignation for good reason after a change of control of the Issuer.
- F4The Restricted Stock Units vest in eight semiannual installments after March 1, 2017 until fully vested on March 1, 2021, subject to the Reporting Person's continuous service with the Issuer. The Restricted Stock Units are subject to accelerated vesting upon termination without cause or resignation for good reason after a change of control of the Issuer.
Remarks
Vice President, Finance and Principal Accounting Officer