SEC Form 4 · accession 0001209191-19-017835
AKCEA THERAPEUTICS, INC. · AKCA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paula Soteropoulos
Officer — Chief Executive Officer · Director
Period of report
Mar 6, 2019
Accepted (ET)
Mar 7, 2019 · 5:20 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001662524
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Mar 6, 2019 | M | 18,386 | $6.48 | A | 18,386 | D | |
| Common StockF2 | Mar 6, 2019 | S | 18,386 | $32.1362 | D | 0 | 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 | $6.48 | Mar 6, 2019 | M | 18,386 | D | — | Dec 15, 2025 | Common Stock | 18,386 | 1,742,866 | D |
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
- F2The weighted average sale price for the transaction reported was $32.1362, and the range of prices were between $32.11 and $32.50. Upon request by the SEC staff, the issuer, or any security holder of the issuer, full information regarding the number of shares sold at each separate price will be provided.
- F3The shares vest as follows: 1/4th of the shares vest one year after January 1, 2015;1/48th of the shares vest monthly thereafter over the next three years.