11/12/2024 | Press release | Distributed by Public on 11/12/2024 16:59
FORM 4
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) |
4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Incentive Stock Option | $77.81 | 11/08/2024 | M | 5,140 | (3) | 01/08/2028 | Common Stock | 5,140 | $ 0 | 0 | D | ||||
Incentive Stock Option | $81.05 | 11/08/2024 | M | 1,233 | (4) | 02/07/2029 | Common Stock | 1,233 | $ 0 | 0 | D | ||||
Incentive Stock Option | $102.9 | 11/08/2024 | M | 971 | (5) | 02/06/2030 | Common Stock | 971 | $ 0 | 0 | D | ||||
Incentive Stock Option | $79.02 | 11/08/2024 | M | 1 | (6) | 01/31/2032 | Common Stock | 1 | $ 0 | 1,265 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ROBERTS EIRY 12780 EL CAMINO REAL SAN DIEGO, CA 92130 |
Chief Medical Officer |
/s/ Darin Lippoldt, Attorney-in-Fact | 11/12/2024 |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | This transaction involved a cash exercise of a stock option without a subsequent sale of the underlying shares of common stock. |
(2) | 29,876 of the outstanding shares are held by The Stephen Tayor and Eiry W. Roberts Joint Trust Agreement, of which Dr. Roberts has voting and investment power. |
(3) | Represents option of which 1/4th of the shares underlying the option became vested and exercisable on January 8, 2019 and an additional 1/48th of the shares underlying the option became vested and excercisable each month thereafter. |
(4) | Represents option of which 1/48th of the shares underlying the option became vested and exercisable on March 7, 2019 and an additional 1/48th of the shares underlying the option became vested and excercisable each month thereafter. |
(5) | Represents option of which 1/48th of the shares underlying the option became vested and exercisable on March 6, 2020 and an additional 1/48th of the shares underlying the option became vested and excercisable each month thereafter. |
(6) | Represents option of which 1/48th of the shares underlying the option became vested and exercisable on February 28, 2022 and an additional 1/48th of the shares underlying the option becomes vested and excercisable each month thereafter. |