Statement of Changes in Beneficial Ownership (4)
September 21 2016 - 07:35PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Bishop Hans Edgar
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2. Issuer Name
and
Ticker or Trading Symbol
Juno Therapeutics, Inc.
[
JUNO
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
CEO & President
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(Last)
(First)
(Middle)
C/O 307 WESTLAKE AVENUE N STE 300
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3. Date of Earliest Transaction
(MM/DD/YYYY)
9/19/2016
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(Street)
SEATTLE, WA 98109
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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9/19/2016
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M
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428
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A
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$6.36
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2518537
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D
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Common Stock
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9/19/2016
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S
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428
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D
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$30.00
(1)
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2518109
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D
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Common Stock
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9/20/2016
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M
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6300
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A
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$6.36
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2524409
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D
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Common Stock
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9/20/2016
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S
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6300
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D
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$30.0005
(1)
(2)
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2518109
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D
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Common Stock
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9/21/2016
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M
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6057
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A
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$6.36
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2524166
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D
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Common Stock
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9/21/2016
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S
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77307
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D
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$30.3024
(3)
(4)
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2446859
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Stock Option (Right to Buy)
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$6.36
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9/19/2016
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M
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428
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(5)
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9/8/2024
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Common Stock
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428
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$0.00
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753863
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D
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Stock Option (Right to Buy)
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$6.36
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9/20/2016
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M
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6300
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(5)
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9/8/2024
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Common Stock
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6300
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$0.00
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747563
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D
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Stock Option (Right to Buy)
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$6.36
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9/21/2016
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M
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6057
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(5)
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9/8/2024
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Common Stock
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6057
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$0.00
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741506
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D
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Explanation of Responses:
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(
1)
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These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 22, 2014, as amended March 20, 2015.
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(
2)
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This transaction was executed in multiple trades at prices ranging from $30.00 to $30.03. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
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(
3)
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This transaction was executed in multiple trades at prices ranging from $30.00 to $30.52. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
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(
4)
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These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 22, 2014, as amended March 20, 2015, and pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 17, 2016.
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(
5)
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1/48th of the shares subject to the option became vested and exercisable on October 9, 2014 and 1/48th of the shares subject to the option vested monthly thereafter.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Bishop Hans Edgar
C/O 307 WESTLAKE AVENUE N STE 300
SEATTLE, WA 98109
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X
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CEO & President
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Signatures
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/s/ Zachary D. Hale, attorney-in-fact
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9/21/2016
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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