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ACHIEVE LIFE SCIENCES, INC. — Director's Dealing 2016
Jun 15, 2016
33882_dirs_2016-06-15_8a1f11e6-bf0a-4c51-bbdc-7edbe733193f.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: ONCOGENEX PHARMACEUTICALS, INC. (OGXI)
CIK: 0000949858
Period of Report: 2016-06-13
Reporting Person: JACOBS CINDY (EVP, CMO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-06-13 | Common Stock | M | 5000 | $0.00 | Acquired | 78853 | Direct |
| 2016-06-13 | Common Stock | S | 1437 | $1.0254 | Disposed | 77416 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2016-06-13 | Restricted Stock Unit (RSU) | $ | M | 5000 | Disposed | 2018-06-12 | Common Stock (5000) | Direct |
Footnotes
F1: Represents shares of common stock acquired upon settlement of the restricted stock units ("RSUs") listed in Table II.
F2: Represents shares of common stock that have been sold by the issuer to satisfy the tax liability in connection with the settlement of RSUs.
F3: The price reported reflects the weighted average sales price. These shares were sold in multiple transactions at prices ranging from $1.01 to $1.045 per share, inclusive. The reporting person hereby undertakes to provide to the issuer, any security holder of the issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F4: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock at settlement.
F5: 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, subject to the reporting person's provision of service to the issuer on each vesting date.