SEC Form 4 · accession 0001209191-16-105491
VICAL INC · VICL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Vijay B Samant
Officer — President & CEO · Director
Period of report
Mar 1, 2016
Accepted (ET)
Mar 3, 2016 · 5:21 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 valueF2 | Mar 1, 2016 | S | 17,600 | $0.3544 | D | 989,226 | D | |
| Common Stock $.01 par valueF4 | Mar 2, 2016 | S | 14,000 | $0.3657 | D | 975,226 | D | |
| Common Stock $.01 par valueF6,F7 | Mar 3, 2016 | S | 5,900 | $0.3727 | D | 969,326 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Sale of 17,600 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 25, 2014.
- F2Represents a weighted average sales price per share. The prices actually received ranged from $0.3410 to $0.3699. The Reporting Person has provided to the issuer, and will provide to any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.
- F3Sale of 14,000 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 25, 2014.
- F4Represents a weighted average sales price per share. The prices actually received ranged from $0.3470 to $0.3748. The Reporting Person has provided to the issuer, and will provide to any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.
- F5Sale of 5,900 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 25, 2014.
- F6Represents a weighted average sales price per share. The prices actually received ranged from $0.3632 to $0.3805. The Reporting Person has provided to the issuer, and will provide to any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.
- F7This balance includes 356,139 unvested shares subject to restricted stock units.