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ACHIEVE LIFE SCIENCES, INC. — Director's Dealing 2017
Jun 14, 2017
33882_dirs_2017-06-14_0a1bcbd3-7cbb-46ae-ba56-329fd69675ad.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: 2017-06-12
Reporting Person: Cormack Scott Daniel (Director, President and CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-06-12 | Common Stock | M | 9375 | $0.00 | Acquired | 149425 | Direct |
| 2017-06-12 | Common Stock | F | 4472 | $0.36 | Disposed | 144953 | Direct |
| 2017-06-12 | Common Stock | M | 5000 | $0.00 | Acquired | 89055 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-06-12 | Restricted Stock Unit (RSU) | $ | M | 9375 | Disposed | 2018-06-12 | Common Stock (9375) | Direct |
| 2017-06-12 | Restricted Stock Unit (RSU) | $ | M | 5000 | Disposed | 2018-06-12 | Common Stock (5000) | Indirect |
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 withheld by the issuer to satisfy the tax liability in connection with the settlement of RSUs and does not represent a sale by the reporting person.
F3: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock at settlement.
F4: Pursuant to the terms of the RSU, 25% of the total shares underlying the RSU vest annually each anniversary of June 12, 2014, subject to the reporting person's provision of service to the issuer on each vesting date.