Statement of Changes in Beneficial Ownership (4)
March 16 2020 - 5:01PM
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).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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
*
Hunkapiller Michael |
2. Issuer Name and Ticker or Trading Symbol
PACIFIC BIOSCIENCES OF CALIFORNIA, INC.
[
PACB
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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 |
(Last)
(First)
(Middle)
PACIFIC BIOSCIENCES OF CALIFORNIA, INC., 1305 O'BRIEN DRIVE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/16/2020 |
(Street)
MENLO PARK, CA 94025
(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 | 3/16/2020 | | A | | 150000 (1) | A | $0.00 | 2548215 | D | |
Common Stock | 3/16/2020 | | A | | 75000 (2) | A | $0.00 | 2623215 | D | |
Common Stock | | | | | | | | 1868395 (3) | I | By Alloy Ventures (4) |
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) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | Each share is represented by a Restricted Stock Unit ("RSU"). The RSUs will vest in four (4) equal annual installments on March 16 of each of 2021, 2022, 2023, and 2024, provided that the Reporting Person continues to serve through each vesting date. |
(2) | Each share is represented by a Restricted Stock Unit ("RSU"). The RSUs will vest in two (2) equal annual installments on March 16 of each of 2021 and 2022, provided that the Reporting Person continues to serve through each vesting date. |
(3) | Consists of (i) 934,198 shares held by Alloy Ventures 2005, L.P., (ii) 909,638 shares held by Alloy Ventures 2002, L.P., and (iii) 24,559 shares held by Alloy Partners 2002, L.P. |
(4) | These are funds affiliated with Alloy Ventures ("Alloy") where the Reporting Person is a General Partner. The Reporting Person disclaims beneficial ownership of any shares held of record by these funds affiliated with Alloy except to the extent of his pecuniary interest therein. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Hunkapiller Michael PACIFIC BIOSCIENCES OF CALIFORNIA, INC. 1305 O'BRIEN DRIVE MENLO PARK, CA 94025 | X |
| CEO & President |
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Signatures
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/s/ Michael Hunkapiller | | 3/16/2020 |
**Signature of Reporting Person | Date |
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