SEC Form 4 · accession 0000880771-16-000210
SCICLONE PHARMACEUTICALS INC · SCLN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Friedhelm Blobel
Officer — President & CEO · Director
Period of report
Nov 11, 2016
Accepted (ET)
Nov 15, 2016 · 4:17 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000880771
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2 | Nov 11, 2016 | M | 5,301 | $1.81 | A | 92,085 | D | |
| Common Stock | Nov 11, 2016 | S | 5,301 | $10.0078 | D | 86,784 | D | |
| Common Stock | Nov 14, 2016 | M | 24,699 | $1.81 | A | 111,483 | D | |
| Common Stock | Nov 14, 2016 | S | 24,699 | $10.3278 | D | 86,784 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Option (right to buy)F3,F4 | $1.81 | Nov 11, 2016 | M | 5,301 | D | — | Mar 18, 2018 | Common Stock | 5,301 | 204,699 | D |
| Non-Qualified Stock Option (right to buy)F3,F4 | $1.81 | Nov 14, 2016 | M | 24,699 | D | — | Mar 18, 2018 | Common Stock | 24,699 | 180,000 | D |
Explanation of responses
- F1The reported sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 18, 2016.
- F2Includes 404 shares purchased under the Issuer's Employee Stock Purchase Plan on August 31, 2016.
- F3Granted under the Issuer's 2005 Equity Incentive Plan.
- F41/36th of such shares will vest on June 1, 2010 and 1/36th will vest monthly thereafter over a three-year period, provided the reporting person remains employed by the Company.