Statement of Changes in Beneficial Ownership (4)
28 2월 2019 - 6:35AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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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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1. Name and Address of Reporting Person
*
Patterson Matthew R
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2. Issuer Name
and
Ticker or Trading Symbol
Audentes Therapeutics, Inc.
[
BOLD
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Chief Executive Officer
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(Last)
(First)
(Middle)
C/O AUDENTES THERAPEUTICS, INC., 600 CALIFORNIA STREET, 17TH FLOOR
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3. Date of Earliest Transaction
(MM/DD/YYYY)
2/25/2019
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(Street)
SAN FRANCISCO, CA 94108
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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2/25/2019
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M
(1)
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17000
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A
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$0.78
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135700
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D
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Common Stock
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2/25/2019
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S
(1)
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17000
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D
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$30.00
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118700
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D
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Common Stock
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2/25/2019
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M
(1)
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4000
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A
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$2.19
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122700
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D
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Common Stock
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2/25/2019
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S
(1)
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4000
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D
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$30.00
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118700
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D
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Common Stock
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171814
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I
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By Matthew R. Patterson Revocable Trust
(2)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Stock Option (right to buy)
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$0.78
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2/25/2019
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M
(1)
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17000
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(3)
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9/25/2023
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Common Stock
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17000
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$0.00
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64751
(4)
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D
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Stock Option (right to buy)
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$2.19
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2/25/2019
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M
(1)
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4000
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(5)
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2/4/2025
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Common Stock
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4000
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$0.00
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74297
(4)
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D
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Explanation of Responses:
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(1)
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This transaction was effected pursuant to a 10b5-1 trading plan adopted by the reporting person.
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(2)
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The reporting person is the trustee of the Matthew R. Patterson Revocable Trust.
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(3)
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The option vested as to 25% of the total shares on January 1, 2014, and then 6.25% of the total shares vest quarterly thereafter, with 100% of the total shares vested and exercisable on January 1, 2017, subject to the reporting person's provision of service to the issuer on each vesting date and to accelerated vesting in the event of the occurrence of certain events.
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(4)
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The exercise of 26,901 options on July 3, 2018 and 23,147 options on July 5, 2018, each having an exercise price of $2.19 per share, were previously reported on Form 4 filed on July 5, 2018 as having an exercise price of $0.78. This Form 4 reflects the correct number of options attributed to each grant and beneficially owned following the transactions reported in this Form 4.
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(5)
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The option vested as to 25% of the total shares on February 4, 2016, and then 6.25% of the total shares vest quarterly thereafter, with 100% of the total shares vested and exercisable on February 4, 2019, subject to the reporting person's provision of service to the issuer on each vesting date.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Patterson Matthew R
C/O AUDENTES THERAPEUTICS, INC.
600 CALIFORNIA STREET, 17TH FLOOR
SAN FRANCISCO, CA 94108
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X
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Chief Executive Officer
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Signatures
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/s/ Thomas Soloway as attorney-in-fact for Matthew Patterson
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2/27/2019
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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