SEC Form 4 · accession 0001209191-16-145680
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 11, 2016
Accepted (ET)
Oct 12, 2016 · 12:24 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,F3 | Oct 11, 2016 | S | 54 | $3.05 | D | 23,125 | 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.
- F2Share amounts have been adjusted to give effect to a 1-for-10 reverse stock split on May 26, 2016.
- F3This balance includes 5,229 unvested shares subject to restricted stock units.