SEC Form 4 · accession 0001209191-17-023156
VICAL INC · VICL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anthony Alan Ramos
Officer — VP, Chief Accounting Officer
Period of report
Mar 27, 2017
Accepted (ET)
Mar 28, 2017 · 4:50 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 | Mar 27, 2017 | S | 4,250 | $2.1741 | D | 9,674 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Sale of 4,250 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.
- F2Represents a weighted average sales price per share. The prices actually received ranged from $2.10 to $2.22. 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.
- F3Such 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 125,311 fewer shares of common stock. The balance includes 3,000 unvested shares subject to restricted stock units.