Initial Statement of Beneficial Ownership (3)
June 16 2017 - 5:25PM
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
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Humphrey David Carl
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2. Date of Event Requiring Statement (MM/DD/YYYY)
6/9/2017
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3. Issuer Name
and
Ticker or Trading Symbol
SENOMYX INC [SNMX]
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(Last)
(First)
(Middle)
4767 NEXUS CENTRE DR.
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
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X
___ Officer (give title below)
_____ Other (specify below)
Vice President, Finance /
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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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264415
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D
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Common Stock
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85765
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I
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By Spouse
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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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(1)
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8/14/2022
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Common Stock
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4687
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$1.8800
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D
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Stock Option (right to buy)
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(2)
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3/18/2023
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Common Stock
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1353
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$2.3600
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D
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Stock Option (right to buy)
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(3)
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2/17/2024
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Common Stock
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18000
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$9.7800
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D
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Stock Option (right to buy)
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(4)
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3/15/2025
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Common Stock
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14700
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$4.4100
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D
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Stock Option (right to buy)
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(5)
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3/14/2026
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Common Stock
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14100
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$2.9700
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D
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Stock Option (right to buy)
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(6)
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3/14/2027
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Common Stock
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21000
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$1.0200
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D
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Stock Option (right to buy)
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(7)
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6/14/2027
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Common Stock
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56000
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$0.8700
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D
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Explanation of Responses:
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(1)
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The stock option was granted on 8/15/2012. The option vests over four years with 1/4 of the total number of shares subject to the option vesting on the first anniversary of the date of grant and 1/48th of the total number of shares subject to the option vesting monthly thereafter, until fully vested on 8/15/2016.
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(2)
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The stock option was granted on 3/19/2013. The option vests over four years with 1/4 of the total number of shares subject to the option vesting on the first anniversary of the date of grant and 1/48th of the total number of shares subject to the option vesting monthly thereafter, until fully vested on 3/19/2017.
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(3)
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The stock option was granted on 2/18/2014. The option vests over four years with 1/4 of the total number of shares subject to the option vesting on the first anniversary of the date of grant and 1/48th of the total number of shares subject to the option vesting monthly thereafter, until fully vested on 2/18/2018.
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(4)
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The stock option was granted on 3/16/2015. The option vests over four years with 1/4 of the total number of shares subject to the option vesting on the first anniversary of the date of grant and 1/48th of the total number of shares subject to the option vesting monthly thereafter, until fully vested on 3/16/2019.
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(5)
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The stock option was granted on 3/15/2016. The option vests over four years with 1/4 of the total number of shares subject to the option vesting on the first anniversary of the date of grant and 1/48th of the total number of shares subject to the option vesting monthly thereafter, until fully vested on 3/15/2020.
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(6)
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The stock option was granted on 3/15/2017. The option vests over four years with 1/4 of the total number of shares subject to the option vesting on the first anniversary of the date of grant and 1/48th of the total number of shares subject to the option vesting monthly thereafter, until fully vested on 3/15/2021.
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(7)
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The stock option was granted on 6/15/2017. The option vests over four years with 1/4 of the total number of shares subject to the option vesting on the first anniversary of the date of grant and 1/48th of the total number of shares subject to the option vesting monthly thereafter, until fully vested on 6/15/2021.
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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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Humphrey David Carl
4767 NEXUS CENTRE DR.
SAN DIEGO, CA 92121
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Vice President, Finance
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Signatures
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/s/ David C. Humphrey
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6/9/2017
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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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