Initial Statement of Beneficial Ownership (3)
October 26 2016 - 12:38PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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
*
Snell Kristi
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2. Date of Event Requiring Statement (MM/DD/YYYY)
10/17/2016
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3. Issuer Name
and
Ticker or Trading Symbol
METABOLIX, INC. [MBLX]
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(Last)
(First)
(Middle)
C/O METABOLIX, INC., 19 PRESIDENTIAL WAY
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
___
X
___ Officer (give title below)
_____ Other (specify below)
VP Research & CSO /
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(Street)
WOBURN, MA 01801
(City)
(State)
(Zip)
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5. 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 Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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18208
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D
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Common Stock
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23700
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I
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By 401(k) Plan
(1)
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Common Stock
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43749
(6)
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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. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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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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(2)
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3/5/2018
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Common Stock
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417
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$90
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D
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Stock Option (right to buy)
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(2)
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5/30/2018
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Common Stock
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2500
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$67.32
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D
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Stock Option (right to buy)
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(2)
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10/21/2018
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Common Stock
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1400
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$54.72
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D
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Stock Option (right to buy)
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(2)
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8/21/2019
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Common Stock
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1333
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$63.24
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D
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Stock Option (right to buy)
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(2)
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2/12/2020
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Common Stock
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1667
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$58.62
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D
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Stock Option (right to buy)
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(2)
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2/11/2021
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Common Stock
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1667
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$54.72
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D
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Stock Option (right to buy)
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(2)
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2/1/2022
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Common Stock
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3334
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$15.96
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D
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Stock Option (right to buy)
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(2)
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5/31/2022
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Common Stock
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3334
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$12
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D
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Stock Option (right to buy)
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(2)
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9/18/2022
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Common Stock
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10000
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$9.3
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D
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Stock Option (right to buy)
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(3)
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2/13/2023
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Common Stock
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1667
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$10.08
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D
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Stock Option (right to buy)
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(4)
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7/22/2023
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Common Stock
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4167
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$8.88
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D
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Stock Option (right to buy)
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(5)
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2/24/2024
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Common Stock
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5001
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$7.74
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D
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Explanation of Responses:
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(
1)
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Shares acquired as Company matching contributions under the Metabolix, Inc. 401(k) Plan.
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(
2)
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This option is fully vested and exercisable.
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(
3)
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This option vests and becomes exercisable in 16 equal quarterly installments over a period of 4 years from 2/13/13.
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(
4)
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This option vests and becomes exercisable in 16 equal quarterly installments over a period of 4 years from 7/22/13.
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(
5)
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This option vests and becomes exercisable in 16 equal quarterly installments over a period of 4 years from 2/24/14.
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(
6)
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These securities are in the form of restricted stock units ("RSUs") issued under the Issuer's 2014 Stock Option and Incentive Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. The RSUs will vest in three equal annual installments on 4/1/17, 4/1/18 and 4/1/19. All RSUs that have not vested will terminate upon the reporting person's termination of employment with the Issuer and its subsidiaries.
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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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Snell Kristi
C/O METABOLIX, INC.
19 PRESIDENTIAL WAY
WOBURN, MA 01801
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VP Research & CSO
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Signatures
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/s/ Sarah P. Cecil, attorney-in-fact
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10/26/2016
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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 5(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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