SEC Form 4 · accession 0001209191-15-005626
VICAL INC · VICL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lawrence Russell Smith
Officer — VP, Vaccine Research
Period of report
Jan 19, 2015
Accepted (ET)
Jan 21, 2015 · 7:19 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000819050
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock $.01 par valueF1,F2 | Jan 19, 2015 | A | 70,000 | $0.01 | A | 244,977 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F3 | $1.07 | Jan 19, 2015 | A | 67,500 | A | Jan 19, 2016 | Jan 18, 2025 | Common Stock | 67,500 | 67,500 | D |
| Nonstatutory Stock Option (right to buy)F3 | $1.07 | Jan 19, 2015 | A | 52,500 | A | Jan 19, 2016 | Jan 18, 2025 | Common Stock | 52,500 | 120,000 | D |
Explanation of responses
- F1Shares were acquired pursuant to a restricted stock grant and generally vest one-fourth on the first anniversary of the grant, with the remainder vesting quarterly over the remaining three years.
- F2This balance includes 172,084 of unvested restricted stock units.
- F3The right to exercise the above stock option generally vests one-fourth on the first anniversary of the grant, with the remaining rights vesting quarterly over the remaining three years.