SEC Form 4 · accession 0001209191-16-091853
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 15, 2016
Accepted (ET)
Jan 15, 2016 · 6:35 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000819050
Table I — non-derivative securities
No Table I lines on this filing.
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)F1 | $0.3564 | Jan 15, 2016 | A | 229,929 | A | Jan 15, 2017 | Jan 14, 2026 | Common Stock | 229,929 | 229,929 | D |
| Nonstatutory Stock Option (right to buy)F1 | $0.3564 | Jan 15, 2016 | A | 20,071 | A | Jan 15, 2017 | Jan 14, 2026 | Common Stock | 20,071 | 250,000 | D |
Explanation of responses
- F1The 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.