SEC Form 5 · accession 0000899243-18-004084
Global Blood Therapeutics, Inc. · GBT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Charles J Homcy
Director
Period of report
Dec 31, 2017
Accepted (ET)
Feb 14, 2018 · 9:59 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 Stock | Apr 6, 2017 | J | 7,798 | $0.00 | D | 34,877 | D | |
| Common Stock | Apr 13, 2017 | J | 7,798 | $0.00 | A | 22,841 | I | By Charles Homcy Revocable Trust |
| Common Stock | May 17, 2017 | J | 3,277 | $0.00 | D | 31,610 | D | |
| Common Stock | May 25, 2017 | J | 3,277 | $0.00 | A | 26,118 | I | By Charles Homcy Revocable Trust |
| Common Stock | Jun 14, 2017 | J | 1,504 | $0.00 | D | 30,106 | D | |
| Common Stock | Jun 21, 2017 | J | 1,504 | $0.00 | A | 27,622 | I | By Charles Homcy Revocable Trust |
| Common Stock | Jul 28, 2017 | J | 112,685 | $0.00 | A | 140,307 | I | By Charles Homcy Revocable Trust |
| Common Stock | Sep 21, 2017 | J | 2,563 | $0.00 | D | 27,543 | D | |
| Common Stock | Sep 26, 2017 | J | 2,563 | $0.00 | A | 142,870 | I | By Charles Homcy Revocable Trust |
| Common Stock | Oct 26, 2017 | J | 70,000 | $0.00 | D | 72,870 | I | By Charles Homcy Revocable Trust |
| Common Stock | Nov 21, 2017 | J | 6,359 | $0.00 | D | 21,184 | D | |
| Common Stock | Nov 28, 2017 | J | 6,359 | $0.00 | A | 79,229 | I | By Charles Homcy Revocable Trust |
| Common Stock | holding | — | — | — | 1,600 | I | By Charles Homcy Revocable Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes 7,798 shares received by the Reporting Person in a distribution-in-kind by Third Rock Ventures II, L.P. ("TRV II"), which distribution was made in accordance with the exemption afforded by Rule 16a-13 of the Securities Exchange Act of 1934, as amended.
- F10Represents trades for 70,000 shares previously reported on Form 4 filed by the Reporting Person on October 27, 2017. These trades are being included on this Form 5 solely to correct the form of ownership immediately following the transaction.
- F11Includes 6,359 shares received by the Reporting Person in a distribution-in-kind by TRV II, which distribution was made in accordance with the exemption afforded by Rule 16a-13 of the Securities Exchange Act of 1934, as amended.
- F12These shares were subsequently transferred to the Reporting Person's revocable trust on November 28, 2017. This report is being filed with respect to this transaction solely to correct the total number of shares directly and indirectly held by the Reporting Person immediately following the transaction.
- F2(2) These shares were subsequently transferred to the Reporting Person's revocable trust on April 13, 2017. This report is being filed with respect to this transaction solely to correct the total number of shares directly and indirectly held by the Reporting Person immediately following the transaction.
- F3Includes 3,277 shares received by the Reporting Person in a distribution-in-kind by TRV II, which distribution was made in accordance with the exemption afforded by Rule 16a-13 of the Securities Exchange Act of 1934, as amended.
- F4These shares were subsequently transferred to the Reporting Person's revocable trust on May 25, 2017. This report is being filed with respect to this transaction solely to correct the total number of shares directly and indirectly held by the Reporting Person immediately following the transaction.
- F5Includes 1,504 shares received by the Reporting Person in a distribution-in-kind by TRV II, which distribution was made in accordance with the exemption afforded by Rule 16a-13 of the Securities Exchange Act of 1934, as amended.
- F6These shares were subsequently transferred to the Reporting Person's revocable trust on June 21, 2017. This report is being filed with respect to this transaction solely to correct the total number of shares directly and indirectly held by the Reporting Person immediately following the transaction.
- F7These shares were subsequently transferred to the Reporting Person's revocable trust on July 28, 2017. This report is being filed with respect to this transaction solely to correct the total number of shares directly and indirectly held by the Reporting Person immediately following the transaction.
- F8Includes 2,563 shares received by the Reporting Person in a distribution-in-kind by TRV II, which distribution was made in accordance with the exemption afforded by Rule 16a-13 of the Securities Exchange Act of 1934, as amended.
- F9These shares were subsequently transferred to the Reporting Person's revocable trust on September 26, 2017. This report is being filed with respect to this transaction solely to correct the total number of shares directly and indirectly held by the Reporting Person immediately following the transaction.