SEC Form 4 · accession 0001209191-17-003834
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 12, 2017
Accepted (ET)
Jan 17, 2017 · 2:09 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 | $2.31 | Jan 12, 2017 | A | 25,000 | A | Jan 12, 2018 | Jan 11, 2027 | Common Stock | 25,000 | 25,000 | D |
| Employee Stock Option (right to buy)F2 | $2.31 | Jan 12, 2017 | A | 18,823 | A | Jan 12, 2018 | Jan 11, 2027 | Common Stock | 18,823 | 18,823 | D |
| Nonstatutory Stock Option (right to buy)F2 | $2.31 | Jan 12, 2017 | A | 1,177 | A | Jan 12, 2018 | Jan 11, 2027 | Common Stock | 1,177 | 20,000 | 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.
- F2The right to exercise the above stock option generally vests one-half on the first anniversary of the grant, with the remaining rights vesting on the second anniversary of the grant date.