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ACHIEVE LIFE SCIENCES, INC. — Director's Dealing 2017
Aug 3, 2017
33882_dirs_2017-08-03_dd4ef000-9807-4e02-9b8c-2443f03dcc40.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: ACHIEVE LIFE SCIENCES, INC. (ACHV)
CIK: 0000949858
Period of Report: 2017-08-01
Reporting Person: JACOBS CINDY (EVP, CMO)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-08-01 | Restricted Stock Unit (RSU) | $ | A | 54800 | Acquired | 2021-08-01 | Common Stock (54800) | Direct |
| 2017-08-01 | Stock Option (right to buy) | $4.57 | A | 274000 | Acquired | 2027-08-01 | Common Stock (274000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 7975 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (right to buy) | $245.08 | 2019-12-31 | Common Stock (1090) | 1090 | Direct |
| Stock Option (right to buy) | $175.67 | 2020-12-14 | Common Stock (1818) | 1818 | Direct |
| Stock Option (right to buy) | $143.00 | 2022-05-08 | Common Stock (1363) | 1363 | Direct |
| Stock Option (right to buy) | $131.45 | 2023-03-12 | Common Stock (1818) | 1818 | Direct |
| Stock Option (right to buy) | $129.69 | 2024-03-14 | Common Stock (2272) | 2272 | Direct |
| Stock Option (right to buy) | $20.46 | 2025-05-19 | Common Stock (3409) | 3409 | Direct |
| Restricted Stock Unit (RSU) | $ | 2018-04-01 | Common Stock (284) | 284 | Direct |
| Restricted Stock Unit (RSU) | $ | 2018-06-12 | Common Stock (454) | 454 | Direct |
| Restricted Stock Unit (RSU) | $ | 2019-05-19 | Common Stock (852) | 852 | Direct |
Footnotes
F1: 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.
F2: Each RSU represents a contingent right to receive one share of the issuer's common stock at settlement.
F3: 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.
F4: The RSUs expire 30 days from the date they vest.
F5: The options vest as to 25% on August 1, 2018 and thereafter in monthly installments over 36 months.
F6: The options are fully vested and exercisable.
F7: The options vest in monthly installments over 48 months commencing one month from January 1, 2014.
F8: The options vest in monthly installments over 48 months commencing one month from January 1, 2015.
F9: 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.
F10: 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.
F11: 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.