Statement of Changes in Beneficial Ownership (4)
March 20 2020 - 5:00PM
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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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
*
DILLY STEPHEN GEORGE |
2. Issuer Name and Ticker or Trading Symbol
SANGAMO THERAPEUTICS, INC
[
SGMO
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O SANGAMO THERAPEAUTICS, INC., 7000 MARINA BLVD. |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/19/2020 |
(Street)
BRISBANE, CA 94005
(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 | 3/19/2020 | | M | | 35000 | A | $5.42 | 40000 (1) | D | |
Common Stock | 3/19/2020 | | S(2) | | 35000 | D | $6.00 (3) | 5000 | D | |
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 |
Stock Option (Right-to-Buy) | $5.42 | 3/19/2020 | | M | | | 35000 | (4) | 3/30/2020 | Common Stock | 35000 | $0.00 | 0 | D | |
Explanation of Responses: |
(1) | Includes 2,500 shares of common stock subject to restricted stock units ("RSUs") granted on June 10, 2019. The RSUs will fully vest on the earlier of (x) June 10, 2020 (the first anniversary of the date of grant) or (y) the day prior to Issuer's 2020 annual stockholders meeting, subject to the Reporting Person's continued service on the Issuer's Board of Directors through such dates. |
(2) | The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on July 15, 2019. |
(3) | The price reported is a weighted average price. The shares were sold at prices ranging from $6.00 to $6.02 The Reporting Person will provide upon request to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price. |
(4) | The option was immediately exercisable for all option shares, but shares purchased under the option were subject to certain repurchase rights by the Issuer upon the cessation of the Reporting Person's service on the Board of Directors of the Issuer. The shares subject to each option vested in monthly installments upon completion of each month of Board service over a three year period measured from the date of grant. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
DILLY STEPHEN GEORGE C/O SANGAMO THERAPEAUTICS, INC. 7000 MARINA BLVD. BRISBANE, CA 94005 | X |
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Signatures
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/s/ Matthew Colvin, Attorney-in-Fact for Stephen G. Dilly | | 3/20/2020 |
**Signature of Reporting Person | Date |
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