SEC Form 4 · accession 0001209191-15-075381
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
Oct 12, 2015
Accepted (ET)
Oct 14, 2015 · 12:49 pm EDT
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 valueF2 | Oct 12, 2015 | S | 974 | $0.426 | D | 242,055 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Sale of 974 shares of common stock to cover withholding taxes on restricted stock units released. The sale was affected by a broker pursuant to instructions set forth in a Rule 10b5-1 plan adopted by the Reporting Person and delivered to the broker on February 26, 2015.
- F2This balance includes 112,861 unvested shares subject to restricted stock units.