SEC Form 4 · accession 0001246360-15-000989
SYNAGEVA BIOPHARMA CORP · GEVA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Carsten Boess
Officer — SVP, Chief Financial Officer
Period of report
Feb 17, 2015
Accepted (ET)
Feb 19, 2015 · 4:21 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000911326
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Feb 17, 2015 | M | 13,235 | $1.70 | A | 13,235 | D | |
| Common Stock | Feb 17, 2015 | M | 29,062 | $40.74 | A | 42,297 | D | |
| Common StockF4 | Feb 17, 2015 | S | 8,989 | $98.85 | D | 33,308 | D | |
| Common StockF5 | Feb 17, 2015 | S | 14,750 | $99.97 | D | 18,558 | D | |
| Common StockF6 | Feb 17, 2015 | S | 16,716 | $100.74 | D | 1,842 | D | |
| Common StockF7 | Feb 17, 2015 | S | 1,842 | $101.69 | D | 0 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F2 | $1.70 | Feb 17, 2015 | M | 13,235 | D | — | May 25, 2021 | Common Stock | 13,235 | 9,929 | D |
| Stock Option (Right to Buy)F3 | $40.74 | Feb 17, 2015 | M | 29,062 | D | — | Jun 27, 2022 | Common Stock | 29,062 | 15,938 | D |
Explanation of responses
- F1The stock option exercise and sale of shares of the Company's common stock reported in this Form 4 was effected pursuant to a Rule 10b5-1 plan adopted by the reporting person on September 24, 2014.
- F2The Stock Option granted the reporting person an option to purchase 158,840 shares of the Company's common stock (the "Shares"). 25% of the Shares vested and became exercisable on 05/16/2012, and 1/36 of the remainder of the Shares vest and become exercisable monthly thereafter.
- F3The Stock Option granted the reporting person an option to purchase 45,000 shares of the Company's common stock (the "Shares"). 25% of the Shares vested and became exercisable on 06/27/ 2013 and 1/36 of the remainder of the Shares vest and become exercisable monthly thereafter.
- F4This transaction was executed in multiple trades through a broker-dealer at prices ranging from $98.34 to $99.32. The price reported in this row reflects the weighted average sales price. Upon request, the reporting person will provide to the SEC staff full information regarding the number of Shares sold at each price.
- F5This transaction was executed in multiple trades through a broker-dealer at prices ranging from $99.36 to $100.35. The price reported in this row reflects the weighted average sales price. Upon request, the reporting person will provide to the SEC staff full information regarding the number of Shares sold at each price.
- F6This transaction was executed in multiple trades through a broker-dealer at prices ranging from $100.45 to $101.37. The price reported in this row reflects the weighted average sales price. Upon request, the reporting person will provide to the SEC staff full information regarding the number of Shares sold at each price.
- F7This transaction was executed in multiple trades through a broker-dealer at prices ranging from $101.56 to $101.97. The price reported in this row reflects the weighted average sales price. Upon request, the reporting person will provide to the SEC staff full information regarding the number of Shares sold at each price.