Initial Statement of Beneficial Ownership (3)
May 31 2019 - 6:26PM
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
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Spencer Ryan
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2. Date of Event Requiring Statement (MM/DD/YYYY)
5/21/2019
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3. Issuer Name
and
Ticker or Trading Symbol
DYNAVAX TECHNOLOGIES CORP [DVAX]
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(Last)
(First)
(Middle)
C/O DYNAVAX TECHNOLOGIES, 2929 SEVENTH STREET, SUITE 100
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
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X
___ Officer (give title below)
_____ Other (specify below)
Co-President and Senior VP /
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(Street)
BERKELEY, CA 94710
(City)
(State)
(Zip)
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5. 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 Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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20707
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D
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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. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Stock Option (Right to Buy)
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(1)
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2/24/2020
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Common Stock
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1500
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$14.80
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D
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Stock Option (Right to Buy)
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(1)
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1/5/2021
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Common Stock
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4500
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$31.40
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D
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Stock Option (Right to Buy)
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(1)
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1/31/2022
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Common Stock
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4500
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$36.80
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D
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Stock Option (Right to Buy)
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(1)
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10/21/2022
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Common Stock
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2000
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$42.60
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D
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Stock Option (Right to Buy)
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(1)
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2/5/2023
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Common Stock
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5250
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$30.60
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D
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Stock Option (Right to Buy)
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(1)
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2/5/2024
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Common Stock
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3500
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$16.70
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D
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Stock Option (Right to Buy)
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(1)
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2/8/2025
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Common Stock
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9500
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$16.00
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D
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Stock Option (Right to Buy)
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(2)
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9/9/2025
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Common Stock
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2000
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$30.49
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D
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Restricted Stock Unit
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(3)
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(3)
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Common Stock
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1562
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(3)
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D
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Restricted Stock Unit
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(4)
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(4)
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Common Stock
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6375
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(4)
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D
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Restricted Stock Unit
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(5)
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(5)
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Common Stock
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4875
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(5)
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D
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Stock Option (Right to Buy)
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(6)
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1/31/2025
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Common Stock
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56000
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$16.45
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D
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Restricted Stock Unit
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(7)
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(7)
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Common Stock
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62500
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(7)
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D
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Explanation of Responses:
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(1)
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The shares subject to the option are fully vested and exercisable
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(2)
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This option grant will vest over four (4) years with one fourth (1/4) of the shares subject to the option vesting twelve months after the grant date of September 10, 2015, and one forty-eighth (1/48) of the shares subject to the option vesting each month thereafter.
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(3)
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Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of common stock. The RSUs vest over four years with 1/4 vesting on each annual anniversary of February 5, 2016.
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(4)
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Each RSU represents a contingent right to receive one share of common stock. The RSUs vest over three years with 1/3 vesting on each annual anniversary of February 22, 2017.
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(5)
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Each RSU represents a contingent right to receive one share of common stock. The RSUs vest over two years with 1/2 vesting on each annual anniversary of June 2, 2017.
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(6)
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This option grant will vest over three (3) years with one third (1/3) of the shares subject to the option vesting twelve months after the grant date of February 1, 2018, and one thirty-sixth (1/36) of the shares subject to the option vesting each month thereafter.
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(7)
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Each RSU represents a contingent right to receive one share of common stock. The RSUs vest over three years with 1/3 vesting on each annual anniversary of February 22, 2019.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Spencer Ryan
C/O DYNAVAX TECHNOLOGIES
2929 SEVENTH STREET, SUITE 100
BERKELEY, CA 94710
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Co-President and Senior VP
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Signatures
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/s/ Ryan Spencer
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5/31/2019
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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