Statement of Changes in Beneficial Ownership (4)
March 13 2015 - 6:26PM
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).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
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
*
Soni Manmeet Singh
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2. Issuer Name
and
Ticker or Trading Symbol
PHARMACYCLICS INC
[
PCYC
]
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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 Financial Officer
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(Last)
(First)
(Middle)
C/O PHARMACYCLICS, INC., 995 EAST ARQUES AVE
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3. Date of Earliest Transaction
(MM/DD/YYYY)
3/11/2015
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(Street)
SUNNYVALE, CA 94085
(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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Common Stock
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3/11/2015
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M
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7848
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A
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$61.60
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65875
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D
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Common Stock
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3/11/2015
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M
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5000
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A
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$106.75
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70875
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D
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Common Stock
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3/11/2015
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M
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11250
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A
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$70.37
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82125
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D
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Common Stock
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3/11/2015
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S
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24098
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D
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$254.15
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58027
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D
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Common Stock
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3/13/2015
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S
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902
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D
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$254.88
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57125
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D
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Common Stock
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3/13/2015
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S
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2514
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D
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$254.914
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54611
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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. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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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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$61.60
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3/11/2015
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M
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7848
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10/26/2012
(1)
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10/26/2022
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Common Stock
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7848
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$0.00
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11152
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D
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Stock Option (Right to Buy)
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$106.75
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3/11/2015
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M
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5000
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8/16/2013
(2)
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8/16/2023
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Common Stock
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5000
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$0.00
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15000
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D
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Stock Option (Right to Buy)
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$70.37
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3/11/2015
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M
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11250
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2/12/2013
(3)
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2/12/2023
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Common Stock
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11250
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$0.00
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18750
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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 will vest as follows: 25% of the shares subject to the option will vest on September 6, 2013 and 1/36th of the remaining shares will vest monthly thereafter, such that 100% of the shares subject to the option will be fully vested on September 6, 2016, subject to the Reporting Person's continued employment or service relationship with the Issuer on each of the vesting dates.
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(
2)
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The option vests 12/48ths shall vest on each of August 16, 2014, August 16, 2015 and August 16, 2016 and August 16,2017. The vesting of the options is subject to satisfaction of certain performance criteria.
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(
3)
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The option vests 3/48 on April 11, 2013; the remainder vests proportionately on each of April 11, 2014, April 11, 2015 and April 11, 2016, subject to satisfaction of certain performance criteria with respect to each such period.
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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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Soni Manmeet Singh
C/O PHARMACYCLICS, INC.
995 EAST ARQUES AVE
SUNNYVALE, CA 94085
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Chief Financial Officer
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Signatures
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/s/ Manmeet S. Soni
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3/13/2015
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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 4(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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