SEC Form 4 · accession 0001246360-15-001755
SYNAGEVA BIOPHARMA CORP · GEVA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anthony Quinn
Officer — EVP, CMO & Head of R&D
Period of report
Apr 6, 2015
Accepted (ET)
Apr 8, 2015 · 6:35 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 | Apr 6, 2015 | A | 42 | $76.88 | A | 25,637 | D | |
| Common Stock | Apr 6, 2015 | M | 10,000 | $0.95 | A | 35,637 | D | |
| Common Stock | Apr 6, 2015 | M | 9,503 | $23.00 | A | 45,140 | D | |
| Common Stock | Apr 6, 2015 | S | 29,503 | $93.76 | D | 15,637 | 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 | $0.95 | Apr 6, 2015 | M | 10,000 | D | — | Oct 7, 2019 | Common Stock | 10,000 | 8,964 | D |
| Stock Option (Right to Buy)F6 | $23.00 | Apr 6, 2015 | M | 9,503 | D | — | Dec 20, 2021 | Common Stock | 9,503 | 20,497 | 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).
- F2The reporting person is voluntarily reporting this transaction as of 04/06/2015, 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 March 6, 2015.
- F5The Stock Option granted the reporting person an option to purchase 101,080 shares of Common Stock (the "Shares"). 25% of the Shares vested and became exercisable on 08/31/2010, and 1/36 of the remainder of the Shares vest and become exercisable monthly thereafter.
- F6The Stock Option granted the reporting person an option to purchase 50,000 shares of Common Stock (the "Shares"). 25% of the Shares vested and became exercisable on 12/20/2012, and 1/36 of the remainder of the Shares vest and become exercisable monthly thereafter.