SEC Form 4 · accession 0001246360-15-001488
SYNAGEVA BIOPHARMA CORP · GEVA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Chris Heberlig
Officer — SVP, Finance and Business Ops.
Period of report
Mar 11, 2015
Accepted (ET)
Mar 13, 2015 · 5:49 pm EDT
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 StockF1,F2,F3 | Mar 11, 2015 | A | 86 | $76.88 | A | 390 | D | |
| Common Stock | Mar 11, 2015 | M | 7,500 | $40.74 | A | 7,890 | D | |
| Common StockF6 | Mar 11, 2015 | S | 900 | $100.44 | D | 6,990 | D | |
| Common StockF7 | Mar 11, 2015 | S | 600 | $101.38 | D | 6,390 | D | |
| Common StockF8 | Mar 11, 2015 | S | 900 | $102.46 | D | 5,490 | D | |
| Common StockF9 | Mar 11, 2015 | S | 3,290 | $103.55 | D | 2,200 | D | |
| Common StockF10 | Mar 11, 2015 | S | 1,510 | $104.57 | D | 690 | D | |
| Common StockF11 | Mar 11, 2015 | S | 300 | $105.74 | D | 390 | 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)F5 | $40.74 | Mar 11, 2015 | M | 7,500 | D | — | Jun 27, 2022 | Common Stock | 7,500 | 7,500 | D |
Explanation of responses
- F1The reporting person is voluntarily reporting the acquisition of shares of the issuer's common stock pursuant to the Synageva BioPharma Corp. Employee Stock Purchase Plan ("ESPP"), for the ESPP purchase period of July 1, 2014 through December 31, 2014. This transaction is also exempt under Rule 16b-3(c).
- F10This transaction was executed in multiple trades through a broker-dealer at prices ranging from $104.15 to $105.00. The price reported in this column 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.
- F11This transaction was executed in multiple trades through a broker-dealer at prices ranging from $105.59 to $106.01. The price reported in this column 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.
- F2The reporting person is voluntarily reporting this transaction as of 03/11/2015, but the actual transaction took place on 12/31/2014, the last trading day of the option period under the ESPP.
- F3In accordance with the ESPP, these shares were purchased based on 85% of the closing stock price on July 1, 2014, the first trading day of the option period.
- F4The stock option exercise and sale of shares of the Company's common stock (the "Shares") reported in this Form 4 was effected pursuant to a Rule 10b5-1 plan adopted by the reporting person on November 3, 2014.
- F5The Stock Option granted the reporting person an option to purchase 15,000 Shares. 25% of such Shares vested and became exercisable on 06/27/2013, and 1/36 of the remainder of such Shares vest and become exercisable monthly thereafter.
- F6This transaction was executed in multiple trades through a broker-dealer at prices ranging from $100.10 to $100.95. The price reported in this column 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 $101.12 to $101.88. The price reported in this column 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.
- F8This transaction was executed in multiple trades through a broker-dealer at prices ranging from $101.98 to $102.94. The price reported in this column 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.
- F9This transaction was executed in multiple trades through a broker-dealer at prices ranging from $103.00 to $103.99. The price reported in this column 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.