Initial Statement of Beneficial Ownership (3)

Date : 05/31/2019 @ 10:26PM
Source : Edgar (US Regulatory)
Stock : Dynavax Technologies Corp (DVAX)
Quote : 5.39  0.0 (0.00%) @ 12:00PM

Initial Statement of Beneficial Ownership (3)

FORM 3
        
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF 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
                      

1. Name and Address of Reporting Person *

Spencer Ryan

2. Date of Event Requiring Statement (MM/DD/YYYY)
5/21/2019 

3. Issuer Name and Ticker or Trading Symbol

DYNAVAX TECHNOLOGIES CORP [DVAX]

(Last)        (First)        (Middle)

C/O DYNAVAX TECHNOLOGIES, 2929 SEVENTH STREET, SUITE 100

4. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                            _____ 10% Owner
___ X ___ Officer (give title below)          _____ Other (specify below)
Co-President and Senior VP /

(Street)

BERKELEY, CA 94710       

(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


Table I - Non-Derivative Securities Beneficially Owned
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   20707   D    

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
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)     (1) 2/24/2020   Common Stock   1500   $14.80   D    
Stock Option (Right to Buy)     (1) 1/5/2021   Common Stock   4500   $31.40   D    
Stock Option (Right to Buy)     (1) 1/31/2022   Common Stock   4500   $36.80   D    
Stock Option (Right to Buy)     (1) 10/21/2022   Common Stock   2000   $42.60   D    
Stock Option (Right to Buy)     (1) 2/5/2023   Common Stock   5250   $30.60   D    
Stock Option (Right to Buy)     (1) 2/5/2024   Common Stock   3500   $16.70   D    
Stock Option (Right to Buy)     (1) 2/8/2025   Common Stock   9500   $16.00   D    
Stock Option (Right to Buy)     (2) 9/9/2025   Common Stock   2000   $30.49   D    
Restricted Stock Unit     (3)   (3) Common Stock   1562     (3) D    
Restricted Stock Unit     (4)   (4) Common Stock   6375     (4) D    
Restricted Stock Unit     (5)   (5) Common Stock   4875     (5) D    
Stock Option (Right to Buy)     (6) 1/31/2025   Common Stock   56000   $16.45   D    
Restricted Stock Unit     (7)   (7) Common Stock   62500     (7) D    

Explanation of Responses:
(1)  The shares subject to the option are fully vested and exercisable
(2)  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.
(3)  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.
(4)  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.
(5)  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.
(6)  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.
(7)  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.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
Spencer Ryan
C/O DYNAVAX TECHNOLOGIES
2929 SEVENTH STREET, SUITE 100
BERKELEY, CA 94710


Co-President and Senior VP

Signatures
/s/ Ryan Spencer 5/31/2019
** Signature of Reporting Person Date


Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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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