SEC Form 4 · accession 0000880771-17-000028
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
Mar 1, 2017
Accepted (ET)
Mar 3, 2017 · 6:13 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 | Mar 1, 2017 | M | 9,200 | $1.08 | A | 96,726 | D | |
| Common Stock | Mar 1, 2017 | S | 9,200 | $10.0011 | D | 87,526 | D | |
| Common Stock | Mar 2, 2017 | M | 4,417 | $1.08 | A | 91,943 | D | |
| Common Stock | Mar 2, 2017 | S | 4,417 | $10.0063 | D | 87,526 | D | |
| Common Stock | Mar 3, 2017 | M | 6,783 | $1.08 | A | 94,309 | D | |
| Common Stock | Mar 3, 2017 | S | 6,783 | $10.0267 | D | 87,526 | D | |
| Common Stock | Mar 3, 2017 | M | 6,513 | $3.55 | A | 94,039 | D | |
| Common Stock | Mar 3, 2017 | S | 6,513 | $10.0267 | D | 87,526 | 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 | $1.08 | Mar 1, 2017 | M | 9,200 | D | — | Mar 6, 2019 | Common Stock | 9,200 | 11,200 | D |
| Non-Qualified Stock Option (right to buy)F3,F4 | $1.08 | Mar 2, 2017 | M | 4,417 | D | — | Mar 6, 2019 | Common Stock | 4,417 | 6,783 | D |
| Non-Qualified Stock Option (right to buy)F3,F4 | $1.08 | Mar 3, 2017 | M | 6,783 | D | — | Mar 6, 2019 | Common Stock | 6,783 | 0 | D |
| Non-Qualified Stock Option (right to buy)F3,F5 | $3.55 | Mar 3, 2017 | M | 6,513 | D | — | Mar 5, 2020 | Common Stock | 6,513 | 293,487 | 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 742 shares purchased under the Issuer's Employee Stock Purchase Plan on February 28, 2017.
- F3Granted under the Issuer's 2005 Equity Incentive Plan.
- F425% of such shares vest from one year from the date of grant and 2.0833% vests each month thereafter, provided that the Reporting Person continues to be employed by the Issuer.
- F525% of each shares vest one year from the date of grant, of March 5,2010, and 2.0833% vests each month thereafter, provided that Reporting Person continues to be employed by the Issuer.