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Neurogene Inc. — Director's Dealing 2017
Jun 5, 2017
33497_dirs_2017-06-05_a6b01c4a-026d-4b0c-abbd-048ce3ca34a2.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: AQUINOX PHARMACEUTICALS, INC (AQXP)
CIK: 0001404644
Period of Report: 2017-06-01
Reporting Person: Main David (Director, President and CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-06-01 | Common Stock | M | 6000 | $9.60 | Acquired | 77530 | Direct |
| 2017-06-01 | Common Stock | S | 6000 | $12.998 | Disposed | 71530 | Direct |
| 2017-06-02 | Common Stock | M | 6000 | $9.60 | Acquired | 77530 | Direct |
| 2017-06-02 | Common Stock | S | 6000 | $13.5933 | Disposed | 71530 | Direct |
| 2017-06-05 | Common Stock | M | 3625 | $9.60 | Acquired | 75155 | Direct |
| 2017-06-05 | Common Stock | S | 3625 | $13.1575 | Disposed | 71530 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-06-01 | Stock Option (Right to Buy) | $9.60 | M | 6000 | Disposed | 2017-06-07 | Common Stock (6000) | Direct |
| 2017-06-02 | Stock Option (Right to Buy( | $9.60 | M | 6000 | Disposed | 2017-06-07 | Common Stock (6000) | Direct |
| 2017-06-05 | Stock Option (Right to Buy) | $9.60 | M | 3625 | Disposed | 2017-06-07 | Common Stock (3625) | Direct |
Footnotes
F1: The exercise of options reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 15, 2017.
F2: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 15, 2017.
F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.82 to $13.20, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer 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 ranges set in this footnote.
F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.45 to $13.67, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer 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 ranges set in this footnote.
F5: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.04 to $13.26, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer 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 ranges set in this footnote.
F6: The option is fully vested.