SEC Form 4 · accession 0000874015-19-000009
IONIS PHARMACEUTICALS INC · IONS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brett P Monia
Officer — Chief Operating Officer
Period of report
Jan 1, 2019
Accepted (ET)
Jan 3, 2019 · 7:42 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000874015
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jan 1, 2019 | J | 210 | $36.448 | A | 16,051 | D | |
| Common StockF3 | Jan 2, 2019 | S | 214 | $53.50 | D | 15,837 | D |
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)F2 | $53.77 | Jan 2, 2019 | A | 102,900 | A | Jan 2, 2020 | Jan 1, 2026 | Common Stock | 102,900 | 102,900 | D |
Explanation of responses
- F1Reporting shares acquired under the Ionis Pharmaceuticals, Inc. Amended and Restated 2000 Employee Stock Purchase Plan on January 1, 2019. These shares may not be sold until July 2, 2019.
- F2Grant of 01/02/2019 to reporting person of stock options under the Ionis Pharmaceuticals, Inc. 2011 Equity Incentive Plan. 25% of the shares subject to the option vest and become exercisable on 01/02/2020. Thereafter, the remaining shares subject to the option vest and become exercisable in 36 equal monthly installments over the next 3 years. Following this transaction, the option was exercisable as to 0 on 01/02/2019.
- F3The Sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 Trading Plan adopted by the reporting person on 07/01/2014.