SEC Form 4 · accession 0000880771-17-000003
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
Jan 3, 2017
Accepted (ET)
Jan 5, 2017 · 6:52 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 Stock | Jan 3, 2017 | M | 300 | $1.81 | A | 87,084 | D | |
| Common Stock | Jan 3, 2017 | S | 300 | $11.00 | D | 86,784 | D | |
| Common Stock | Jan 4, 2017 | M | 100 | $1.81 | A | 86,884 | D | |
| Common Stock | Jan 4, 2017 | S | 100 | $11.00 | D | 86,784 | D | |
| Common Stock | Jan 5, 2017 | M | 9,200 | $1.81 | A | 95,984 | D | |
| Common Stock | Jan 5, 2017 | S | 9,200 | $11.0204 | 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)F2,F3 | $1.81 | Jan 3, 2017 | M | 300 | D | — | Mar 18, 2018 | Common Stock | 300 | 39,700 | D |
| Non-Qualified Stock Option (right to buy)F2,F3 | $1.81 | Jan 4, 2017 | M | 100 | D | — | Mar 18, 2018 | Common Stock | 100 | 39,600 | D |
| Non-Qualified Stock Option (right to buy)F2,F3 | $1.81 | Jan 5, 2017 | M | 9,200 | D | — | Mar 18, 2018 | Common Stock | 9,200 | 30,400 | 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.
- F2Granted under the Issuer's 2005 Equity Incentive Plan.
- F31/36th 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.