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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 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 | ||||||||
Employee Stock Option (Right to Buy) | $ 0.48 | 12/21/2015 | M | 4,367 | (2) | 12/13/2021 | Common Stock | 4,367 | $ 0 | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 0.48 | 12/21/2015 | M | 5,512 | (3) | 06/12/2022 | Common Stock | 5,512 | $ 0 | 4,410 | D | ||||
Employee Stock Option (Right to Buy) | $ 0.96 | 12/21/2015 | M | 6,306 | (4) | 05/22/2023 | Common Stock | 6,306 | $ 0 | 22,703 | D | ||||
Employee Stock Option (Right to Buy) | $ 2.64 | 12/21/2015 | M | 11,640 | (5) | 12/16/2023 | Common Stock | 11,640 | $ 0 | 73,794 | D | ||||
Employee Stock Option (Right to Buy) | $ 0.96 | 12/21/2015 | M | 5,418 | (4) | 05/22/2023 | Common Stock | 5,418 | $ 0 | 19,506 | I | By Spouse | |||
Employee Stock Option (Right to Buy) | $ 2.64 | 12/21/2015 | M | 4,749 | (5) | 12/16/2023 | Common Stock | 4,749 | $ 0 | 18,996 | I | By Spouse |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Molineaux Susan C/O CALITHERA BIOSCIENCES, INC. 343 OYSTER POINT BLVD. #200 SOUTH SAN FRANCISCO, CA 94080 |
X | PRESIDENT AND CEO |
/s/William D. Waddill, as Attorney-in-Fact | 12/23/2015 | |
**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) | Includes 2,500 shares acquired under the Company's 2014 Employee Stock Purchase Plan on November 13, 2015. |
(2) | 1/48 of the Option vests in equal monthly installments one month from 11/07/2011. The option shall be subject to accelerated vesting as set forth in the optionee's employment agreement with the Company. |
(3) | 1/48 of the Option vests in equal monthly installments one month from 03/27/2012. The option shall be subject to accelerated vesting as set forth in the optionee's employment agreement with the Company. |
(4) | 1/48 of the Option vests in equal monthly installments one month from 05/23/2013. The option shall be subject to accelerated vesting as set forth in the optionee's employment agreement with the Company. |
(5) | 1/48 of the Option vests in equal monthly installments one month from 12/17/2013. The option shall be subject to accelerated vesting as set forth in the optionee's employment agreement with the Company. |