Initial Statement of Beneficial Ownership (3)
April 02 2020 - 2:20PM
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
*
Zaccarin Denis |
2. Date of Event Requiring Statement (MM/DD/YYYY)
4/1/2020
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3. Issuer Name and Ticker or Trading Symbol
PACIFIC BIOSCIENCES OF CALIFORNIA, INC. [PACB]
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(Last)
(First)
(Middle)
PACIFIC BIOSCIENCES OF CALIFORNIA, INC., 1305 O'BRIEN DRIVE |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) SVP, Research & Development / |
(Street)
MENLO PARK, CA 94025
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 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) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 81281 (1) | 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. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (right to buy) | (2) | 7/29/2020 | Common Stock | 5001 | $12.74 | D | |
Stock Option (right to buy) | (2) | 6/15/2021 | Common Stock | 5000 | $11.64 | D | |
Stock Option (right to buy) | (2) | 2/15/2022 | Common Stock | 28000 | $4.79 | D | |
Stock Option (right to buy) | (2) | 2/15/2023 | Common Stock | 20000 | $2.18 | D | |
Stock Option (right to buy) | (2) | 2/18/2024 | Common Stock | 50000 | $7.05 | D | |
Stock Option (right to buy) | (2) | 2/17/2025 | Common Stock | 50000 | $6.91 | D | |
Stock Option (right to buy) | (2) | 2/16/2026 | Common Stock | 60000 | $8.90 | D | |
Stock Option (right to buy) | 3/15/2017 (3) | 2/15/2027 | Common Stock | 65000 | $5.27 | D | |
Stock Option (right to buy) | 3/15/2018 (3) | 2/15/2028 | Common Stock | 45000 | $2.54 | D | |
Explanation of Responses: |
(1) | Includes 65,000 shares represented by restricted stock units ("RSUs"). Each RSU represents the Reporting Person's right to receive one share of Common Stock of the Issuer subject to the applicable vesting schedule, provided that the Reporting Person is a service provider through each vesting date. |
(2) | The shares subject to the option are fully vested and exercisable. |
(3) | One forty-eighth (1/48) of the shares subject to the option vests monthly over a four year period, provided that the Reporting Person is a service provider through each vesting date. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Zaccarin Denis PACIFIC BIOSCIENCES OF CALIFORNIA, INC. 1305 O'BRIEN DRIVE MENLO PARK, CA 94025 |
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| SVP, Research & Development |
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Signatures
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/s/ Denis Zaccarin | | 4/2/2020 |
**Signature of Reporting Person | Date |
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