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ACHIEVE LIFE SCIENCES, INC. — Director's Dealing 2013
Oct 3, 2013
33882_dirs_2013-10-03_880dd5f5-917e-4d0a-85f6-65068490508a.zip
Director's Dealing
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SEC Form 4/A — Form 4/A
Issuer: ONCOGENEX PHARMACEUTICALS, INC. (OGXI)
CIK: 0000949858
Period of Report: 2013-08-13
Reporting Person: Wyrick Susan D. (PAO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-08-19 | Common Stock | S | 194 | $8.68 | Disposed | 481 | Direct |
| 2013-10-01 | Common Stock | M | 688 | $0.00 | Acquired | 1169 | Direct |
| 2013-10-02 | Common Stock | S | 191 | $9.04 | Disposed | 978 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-10-01 | Restricted Stock Unit (RSU) | $ | M | 688 | Disposed | 2016-07-29 | Common Stock (688) | Direct |
Footnotes
F1: This amended Form 4 is filed to correct the transaction date, which was previously inadvertently reported as August 13, 2013.
F2: This amended Form 4 is filed to correct the transaction code, which was previously inadvertently reported as "F". The sales reported on this amended Form 4 were made for the sole purpose of covering the reporting person's tax liability in connection with the settlement of RSUs on August 13, 2013, which transaction was previously reported.
F3: This amended report is filed to correct the number of shares disposed of in connection with the sale of shares to satisfy the reporting person's tax liability in connection with the settlement of RSUs on August 13, 2013, which transaction was previously reported.
F4: Represents shares of common stock acquired upon settlement of the restricted stock units ("RSUs") listed in Table II.
F5: This amended Form 4 is filed to correct the transaction code, which was previously inadvertently reported as "F". The sales reported on this amended Form 4 were made for the sole purpose of covering the reporting person's tax liability in connection with the settlement of the RSUs listed in Table II.
F6: This amended report is filed to correct the number of shares disposed of in connection with the sale of shares to satisfy the reporting person's tax liability in connection with the settlement of the RSUs listed in Table II.
F7: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock at settlement.
F8: 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 29, 2012 and (ii) the first day thereafter during which the issuer's trading window is open.