SEC Form 4 · accession 0000939767-15-000107
EXELIXIS, INC. · EXEL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gisela Schwab
Officer — EVP and Chief Medical Officer
Period of report
Nov 16, 2015
Accepted (ET)
Nov 17, 2015 · 4:23 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000939767
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Nov 16, 2015 | M | 3,125 | — | A | 92,924 | D | |
| Common Stock | Nov 16, 2015 | F | 1,174 | $0.00 | D | 91,750 | D | |
| Common StockF3 | holding | — | — | — | 12,078 | I | By 401(k) |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F4 | — | Nov 16, 2015 | M | 3,125 | D | — | — | Common Stock | 3,125 | 0 | D |
Explanation of responses
- F1Restricted stock units convert into Exelixis, Inc. common stock on a one-for-one basis.
- F2Includes 4,866 and 7,349 shares acquired under the Exelixis, Inc. 2000 Employee Stock Purchase Plan on April 30, 2015 and October 30, 2015, respectively.
- F3Represents 12,078 shares of Exelixis, Inc. common stock under the Exelixis, Inc. 401(k) Plan, pursuant to a plan statement dated as of November 13, 2015.
- F4On September 28, 2011, the reporting person was granted 12,500 restricted stock units, of which 1/4th of the shares subject to the restricted stock units were issued on November 16, 2015 following vesting. The common stock into which such vested restricted stock units converted on November 16, 2015 is reported in Table I on this Form 4.