SEC Form 4 · accession 0000939767-17-000038
EXELIXIS, INC. · EXEL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gisela Schwab
Officer — Pres Prod Dev & Med Aff & CMO
Period of report
Mar 15, 2017
Accepted (ET)
Mar 17, 2017 · 7:51 pm EDT
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 | Mar 15, 2017 | M | 17,707 | $4.42 | A | 175,760 | D | |
| Common Stock | Mar 15, 2017 | M | 32,300 | $7.18 | A | 208,060 | D | |
| Common Stock | Mar 15, 2017 | S | 50,007 | $22.53 | D | 158,053 | D | |
| Common StockF2 | holding | — | — | — | 13,974 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option (right to buy)F3 | $4.42 | Mar 15, 2017 | M | 17,707 | D | Feb 26, 2010 | Feb 25, 2019 | Common Stock | 17,707 | 7,293 | D |
| Option (right to buy)F4 | $7.18 | Mar 15, 2017 | M | 32,300 | D | Dec 9, 2010 | Dec 8, 2019 | Common Stock | 32,300 | 177,700 | D |
Explanation of responses
- F1Includes 20,000 shares of Exelixis, Inc. common stock that will be issued to the Reporting Person upon vesting of restricted stock units.
- F2Represents 13,974 shares of Exelixis, Inc. common stock under the Exelixis, Inc. 401(k) Plan, pursuant to a plan statement dated as of March 15, 2017.
- F3The option, representing the right to purchase a total of 25,000 shares of Exelixis, Inc. common stock, became fully exercisable on February 26, 2013.
- F4The option, representing the right to purchase a total of 210,000 shares of Exelixis, Inc. common stock, became fully exercisable on December 9, 2013.