Initial Statement of Beneficial Ownership (3)
May 31 2017 - 4:49PM
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
Estimated average burden
hours per response...
0.5
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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
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Mammen Mammen
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2. Date of Event Requiring Statement (MM/DD/YYYY)
5/25/2017
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3. Issuer Name
and
Ticker or Trading Symbol
VICAL INC [VICL]
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(Last)
(First)
(Middle)
C/O VICAL INCORPORATED, 10390 PACIFIC CENTER COURT
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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)
Sr VP, Clinical Development /
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(Street)
SAN DIEGO, CA 92121
(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)
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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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9399
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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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Employee Stock Option (Right to Buy)
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1/12/2018
(1)
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1/11/2027
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Common Stock
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25000
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$2.31
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D
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Employee Stock Option (Right to Buy)
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(2)
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1/11/2027
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Common Stock
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20000
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$2.31
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D
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Employee Stock Option (Right to Buy)
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1/15/2017
(3)
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1/14/2026
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Common Stock
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25000
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$3.56
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D
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Employee Stock Option (Right to Buy)
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1/19/2016
(3)
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1/18/2025
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Common Stock
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12000
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$10.70
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D
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Employee Stock Option (Right to Buy)
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1/10/2017
(4)
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1/9/2024
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Common Stock
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12001
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$14.20
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D
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Employee Stock Option (Right to Buy)
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8/26/2014
(5)
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8/25/2023
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Common Stock
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15000
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$13.60
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D
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Employee Stock Option (Right to Buy)
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11/1/2016
(6)
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10/31/2022
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Common Stock
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2000
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$33.80
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D
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Explanation of Responses:
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(1)
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25% of the shares subject to the stock option vest and become exercisable on the date reported in column 2 above, the first anniversary of the grant date. The remaining shares vest in equal quarterly installments over the remaining three years.
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(2)
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50% of the shares subject to the stock option vest and become exercisable on each of January 12, 2018 and January 12, 2019.
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(3)
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25% of the shares subject to the stock option vested and became exercisable on the date reported in column 2 above, the first anniversary of the grant date. The remaining shares vest in equal quarterly installments over the remaining three years.
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(4)
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The option became fully vested and exercisable on the date reported in column 2 above. One-third of the shares subject to the stock option vested and became exercisable on January 10, 2015, the first anniversary of the grant date. The remaining shares vested in equal quarterly installments thereafter.
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(5)
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The option became fully vested and exercisable on the date reported in column 2 above.
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(6)
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The option became fully vested and exercisable on the date reported in column 2 above. 25% of the shares subject to the stock option vested and became exercisable on November 1, 2013, the first anniversary of the grant date. The remaining shares vested in equal quarterly installments thereafter.
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Remarks:
Securities acquired by the Reporting Person prior to May 26, 2016 reflect the 1-for-10 reverse split of the Issuer's common stock on such date.
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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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Mammen Mammen
C/O VICAL INCORPORATED
10390 PACIFIC CENTER COURT
SAN DIEGO, CA 92121
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Sr VP, Clinical Development
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Signatures
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/s/ Sandy R. Medina, via Power of Attorney
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5/30/2017
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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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