SEC Form 4 · accession 0001140361-17-011947
GENVEC INC · GNVC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
MMCAP International Inc. SPC
10% Owner
Period of report
Mar 3, 2017
Accepted (ET)
Mar 14, 2017 · 5:29 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000934473
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common SharesF1 | Mar 3, 2017 | P | 1,300 | $6.8592 | A | 236,585 | D | |
| Common SharesF2 | Mar 6, 2017 | P | 2,857 | $6.7393 | A | 239,442 | D | |
| Common SharesF3 | Mar 7, 2017 | P | 1,100 | $6.6782 | A | 240,542 | D | |
| Common SharesF4 | Mar 8, 2017 | P | 16,730 | $6.8156 | A | 257,272 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from 6.81 to 6.95, inclusive. The reporting person undertakes to provide to GenVec, Inc, any security holder of GenVec, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth above.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.73 to $6.76, inclusive. The reporting person undertakes to provide to GenVec, Inc, any security holder of GenVec, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth above.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.62 to $6.70, inclusive. The reporting person undertakes to provide to GenVec, Inc, any security holder of GenVec, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth above.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.69 to $6.90, inclusive. The reporting person undertakes to provide to GenVec, Inc, any security holder of GenVec, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth above.