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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 | ||||||||
Stock Option (Right to Buy) | $ 1.61 | 04/01/2013 | M(1) | 30,000 | (5) | 09/02/2020 | Common Stock | 30,000 | $ 0 | 29,042 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
PATOU GARY C/O MPM ASSET MANAGEMENT 601 GATEWAY BLVD., SUITE 350 SOUTH SAN FRANCISCO, CA 94080 |
Chief Medical Officer |
/s/ Gary Patou | 04/03/2013 | |
**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 was pursuant to a 10b5-1 Plan. |
(2) | Represents weighted average sales price. The shares were sold at prices ranging from $27.23 to $28.20. The Reporting Person will provide upon request, to the SEC, the Issuer or securityholder of the Issuer, full information regarding the number of shares sold at each separate price. |
(3) | Represents weighted average sales price. The shares were sold at prices ranging from $28.27 to $28.93. The Reporting Person will provide upon request, to the SEC, the Issuer or securityholder of the Issuer, full information regarding the number of shares sold at each separate price. |
(4) | Shares held by Patou Family Trust, of which the reporting person is trustee. |
(5) | The option vests as to 50% of the option shares on September 2, 2010 and the remaining 50% of the option shares vests equally monthly over the next 24 months. |