Statement of Changes in Beneficial Ownership (4)
September 25 2020 - 04:07PM
Edgar (US Regulatory)
FORM 4
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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
*
Picchio Gaston |
2. Issuer Name and Ticker or Trading Symbol
Arbutus Biopharma Corp
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ABUS
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Development Officer |
(Last)
(First)
(Middle)
C/O ARBUTUS BIOPHARMA CORPORATION, 701 VETERANS CIRCLE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
9/23/2020 |
(Street)
WARMINSTER, PA 18974
(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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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 |
Common Stock | $3.35 (1) | 9/23/2020 | | A | | 50000 | | (2) | 2/17/2020 | Common Stock | 50000.0 | $0 | 50000 | 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 performance based option grant wasapproved by the Executive Compensation and Human Resources Committee of the Board of Directors (the "Committee") of Arbutus Biopharma Corporation, subject to both shareholder approval of anamendment to the Registrant's 2016 Omnibus Share and Incentive Plan (the "Plan Amendment") and the fulfillment of certain performance criteria. |
(2) | The Registrant's shareholders approved the Plan Amendment on May 28, 2020. On September 23, 2020, the Committee determined that the performance criteria had been met. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Picchio Gaston C/O ARBUTUS BIOPHARMA CORPORATION 701 VETERANS CIRCLE WARMINSTER, PA 18974 |
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| Chief Development Officer |
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Signatures
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/s/ David C. Hastings as attorney-in-fact for Gaston Picchio | | 9/25/2020 |
**Signature of Reporting Person | Date |
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