Statement of Changes in Beneficial Ownership (4)
June 01 2020 - 05:03PM
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
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Collier William H. |
2. Issuer Name and Ticker or Trading Symbol
Arbutus Biopharma Corp
[
ABUS
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) President and CEO |
(Last)
(First)
(Middle)
C/O ARBUTUS BIOPHARMA CORPORATION, 701 VETERANS CIRCLE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/28/2020 |
(Street)
WARMINSTER, PA 18974
(City)
(State)
(Zip)
|
4. 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
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code (Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
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 Options | $3.35 (1) | 5/28/2020 (2) | | A | | 262313 | | (3) | 2/17/2030 | Common Stock | 262313.0 | $0 | 262313 | D | |
Explanation of Responses: |
(1) | Reflects the closing price of the Company's common shares on the Nasdaq Stock Market on February 14, 2020, the trading day immediately preceding the date the option grant was approved by the Executive Compensation and Human Resources Committee of the Board of Directors (the "Committee") of Arbutus Biopharma Corporation, subject to shareholder approval of an amendment to the Registrant's 2016 Omnibus Share and Incentive Plan (the "Plan Amendment"). |
(2) | The option grant was approved by the Committee on February 17, 2020, subject to shareholder approval of the Plan Amendment. The Registrant's shareholders approved the Plan Amendment on May 28, 2020. |
(3) | The stock option will vest and become exercisable as to 3/48ths of the common shares on the grant date and an additional 1/48th of the total original common shares on the 17th day of each of the next 45 months. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Collier William H. C/O ARBUTUS BIOPHARMA CORPORATION 701 VETERANS CIRCLE WARMINSTER, PA 18974 | X |
| President and CEO |
|
Signatures
|
/s/ David C. Hastings as attorney-in-fact for William H. Collier | | 6/1/2020 |
**Signature of Reporting Person | Date |
Arbutus Biopharma (NASDAQ:ABUS)
Historical Stock Chart
From Feb 2024 to Mar 2024
Arbutus Biopharma (NASDAQ:ABUS)
Historical Stock Chart
From Mar 2023 to Mar 2024