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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 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 | ||||||||
Restricted Stock Unit (RSU) | (2) | 08/01/2017 | A | 54,800 | (3) | 08/01/2021(4) | Common Stock | 54,800 | $ 0 | 54,800 | D | ||||
Stock Option (right to buy) | $ 4.57 | 08/01/2017 | A | 274,000 | (5) | 08/01/2027 | Common Stock | 274,000 | $ 0 | 274,000 | D | ||||
Stock Option (right to buy) | $ 245.08 (1) | (6) | 12/31/2019 | Common Stock | 1,090 (1) | 1,090 | D | ||||||||
Stock Option (right to buy) | $ 175.67 (1) | (6) | 12/14/2020 | Common Stock | 1,818 (1) | 1,818 | D | ||||||||
Stock Option (right to buy) | $ 143 (1) | (6) | 05/08/2022 | Common Stock | 1,363 (1) | 1,363 | D | ||||||||
Stock Option (right to buy) | $ 131.45 (1) | (6) | 03/12/2023 | Common Stock | 1,818 (1) | 1,818 | D | ||||||||
Stock Option (right to buy) | $ 129.69 (1) | (7) | 03/14/2024 | Common Stock | 2,272 (1) | 2,272 | D | ||||||||
Stock Option (right to buy) | $ 20.46 (1) | (8) | 05/19/2025 | Common Stock | 3,409 (1) | 3,409 | D | ||||||||
Restricted Stock Unit (RSU) | (2) | (9) | 04/01/2018 | Common Stock | 284 (1) | 284 | D | ||||||||
Restricted Stock Unit (RSU) | (2) | (10) | 06/12/2018 | Common Stock | 454 (1) | 454 | D | ||||||||
Restricted Stock Unit (RSU) | (2) | (11) | 05/19/2019 | Common Stock | 852 (1) | 852 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
JACOBS CINDY 19820 NORTH CREEK PARKWAY, SUITE 201 BOTHELL, WA 98011 |
EVP, CMO |
Sandra Thomson as attorney-in-fact for Cindy Jacobs | 08/03/2017 | |
**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) | Reflects the 11-for-1 reverse stock split effected on August 1, 2017 immediately following the merger between OncoGenex Pharmaceuticals, Inc. and Achieve Life Science, Inc. |
(2) | Each RSU represents a contingent right to receive one share of the issuer's common stock at settlement. |
(3) | Pursuant to the terms of the RSU, 25% of the total shares underlying the RSU vest annually on the later of (i) each anniversary of August 1, 2017 and (ii) the first day thereafter during which the issuer's trading window is open. |
(4) | The RSUs expire 30 days from the date they vest. |
(5) | The options vest as to 25% on August 1, 2018 and thereafter in monthly installments over 36 months. |
(6) | The options are fully vested and exercisable. |
(7) | The options vest in monthly installments over 48 months commencing one month from January 1, 2014. |
(8) | The options vest in monthly installments over 48 months commencing one month from January 1, 2015. |
(9) | Pursuant to the terms of the RSU, 25% of the total shares underlying the RSU vest annually on the later of (i) each anniversary of January 1, 2014 and (ii) the first day thereafter during which the issuer's trading window is open. |
(10) | Pursuant to the terms of the RSU, 25% of the total shares underlying the RSU vest annually on the later of (i) each anniversary of June 12, 2014 and (ii) the first day thereafter during which the issuer's trading window is open. |
(11) | Pursuant to the terms of the RSU, 25% of the total shares underlying the RSU vest annually on the later of (i) each anniversary of January 1, 2015 and (ii) the first day thereafter during which the issuer's trading window is open. |