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EXELIXIS, INC. — Director's Dealing 2015
Oct 14, 2015
30561_dirs_2015-10-14_5c7d6805-f0f0-466b-9258-890498973f32.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: EXELIXIS, INC. (EXEL)
CIK: 0000939767
Period of Report: 2015-10-12
Reporting Person: Lamb Peter (EVP, Discovery Research & CSO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2015-10-12 | Common Stock | M | 525 | $5.63 | Acquired | 36998 | Direct |
| 2015-10-12 | Common Stock | M | 1400 | $5.63 | Acquired | 38398 | Direct |
| 2015-10-12 | Common Stock | M | 2500 | $5.63 | Acquired | 40898 | Direct |
| 2015-10-12 | Common Stock | M | 8000 | $5.63 | Acquired | 48898 | Direct |
| 2015-10-12 | Common Stock | M | 20000 | $5.63 | Acquired | 68898 | Direct |
| 2015-10-12 | Common Stock | M | 28000 | $5.63 | Acquired | 96898 | Direct |
| 2015-10-12 | Common Stock | M | 84000 | $5.63 | Acquired | 180898 | Direct |
| 2015-10-12 | Common Stock | M | 19333 | $5.63 | Acquired | 200231 | Direct |
| 2015-10-12 | Common Stock | M | 39999 | $5.63 | Acquired | 240230 | Direct |
| 2015-10-12 | Common Stock | M | 39583 | $5.63 | Acquired | 279813 | Direct |
| 2015-10-12 | Common Stock | M | 56936 | $5.63 | Acquired | 336749 | Direct |
| 2015-10-12 | Common Stock | S | 300276 | $5.839 | Disposed | 36473 | Direct |
| 2015-10-13 | Common Stock | M | 600 | $5.63 | Acquired | 37073 | Direct |
| 2015-10-13 | Common Stock | S | 600 | $5.80 | Disposed | 36473 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2015-10-12 | Option (right to buy) | $5.63 | M | 525 | Disposed | 2015-10-17 | Common Stock (525.0) | Direct |
| 2015-10-12 | Option (right to buy) | $5.63 | M | 1400 | Disposed | 2015-10-17 | Common Stock (1400.0) | Direct |
| 2015-10-12 | Option (right to buy) | $5.63 | M | 2500 | Disposed | 2015-10-17 | Common Stock (2500.0) | Direct |
| 2015-10-12 | Option (right to buy) | $5.63 | M | 8000 | Disposed | 2015-10-17 | Common Stock (8000.0) | Direct |
| 2015-10-12 | Option (right to buy) | $5.63 | M | 20000 | Disposed | 2015-10-17 | Common Stock (20000.0) | Direct |
| 2015-10-12 | Option (right to buy) | $5.63 | M | 28000 | Disposed | 2015-10-17 | Common Stock (28000.0) | Direct |
| 2015-10-12 | Option (right to buy) | $5.63 | M | 84000 | Disposed | 2015-10-17 | Common Stock (84000.0) | Direct |
| 2015-10-12 | Option (right to buy) | $5.63 | M | 19333 | Disposed | 2015-10-17 | Common Stock (19333.0) | Direct |
| 2015-10-12 | Option (right to buy) | $5.63 | M | 39999 | Disposed | 2015-10-17 | Common Stock (39999.0) | Direct |
| 2015-10-12 | Option (right to buy) | $5.63 | M | 39583 | Disposed | 2015-10-17 | Common Stock (39583.0) | Direct |
| 2015-10-12 | Option (right to buy) | $5.63 | M | 56936 | Disposed | 2015-10-17 | Common Stock (56936.0) | Direct |
| 2015-10-13 | Option (right to buy) | $5.63 | M | 600 | Disposed | 2015-10-17 | Common Stock (600.0) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 14478 | Indirect |
Footnotes
F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.80 to $6.00, inclusive. The reporting person undertakes to provide to Exelixis, Inc., any security holder of Exelixis, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.
F2: Represents 14,478 shares of Exelixis, Inc. common stock under the Exelixis, Inc. 401(k) Plan, pursuant to a plan statement dated as of October 13, 2015.
F3: Option granted pursuant to Issuer's 2000 Equity Incentive Plan. One hundred percent (100%) of the shares vest one year from date of grant.
F4: Option granted pursuant to Issuer's 2000 Equity Incentive Plan. Thirty-three percent (33%) of the shares vest one year from date of grant, and the remaining shares vest in 24 equal monthly installments thereafter.