SEC Form 4 · accession 0001209191-16-132504
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
Jul 11, 2016
Accepted (ET)
Jul 13, 2016 · 1:25 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 | Jul 11, 2016 | S | 54 | $4.46 | D | 23,179 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Sale of 54 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 June 6, 2016.
- F2Such number reflects the 1-for-10 reverse stock split of the issuer's common stock on May 26, 2016, resulting in the Reporting Person's ownership of 209,098 fewer shares of common stock. The balance includes 6,523 unvested shares subject to restricted stock units.