Statement of Changes in Beneficial Ownership (4)
November 18 2020 - 4:19PM
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
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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
*
BROWN J. CHAD |
2. Issuer Name and Ticker or Trading Symbol
NanoString Technologies Inc
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NSTG
]
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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) SVP, Sales & Marketing |
(Last)
(First)
(Middle)
530 FAIRVIEW AVENUE N |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/16/2020 |
(Street)
SEATTLE, WA 98109
(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 | 11/16/2020 | | M | | 3750 | A | $16.35 | 4190 | D | |
Common Stock | 11/16/2020 | | M | | 625 | A | $6.80 | 4815 | D | |
Common Stock | 11/16/2020 | | M | | 1906 | A | $23.34 | 6721 | D | |
Common Stock | 11/16/2020 | | S(1) | | 6281 | D | $46.21 | 440 | D | |
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 |
Stock Options (right to buy) | $16.35 | 11/16/2020 | | M | | | 3750 | (2) | 7/4/2027 | Common Stock | 3750.0 | $16.35 | 10001 | D | |
Stock Options (right to buy) | $6.8 | 11/16/2020 | | M | | | 625 | (3) | 2/5/2028 | Common Stock | 625.0 | $6.80 | 3125 | D | |
Stock Options (right to buy) | $23.34 | 11/16/2020 | | M | | | 1906 | (4) | 3/25/2029 | Common Stock | 1906.0 | $23.34 | 18429 | D | |
Explanation of Responses: |
(1) | The sales reported by Mr. Brown were effected pursuant to a Rule 10b5-1 trading plan adopted on May 15, 2020. |
(2) | 25% of the shares subject to the Option vest on the one-year anniversary of July 5, 2017 (the "Vesting Commencement Date"), and thereafter 1/48th of the shares subject to the Option vest on each monthly anniversary of the Vesting Commencement Date. |
(3) | 1/48 of the shares subject to such option shall vest on the one-month anniversary of 2/6/18 (the "Option Vesting Commencement Date") and 1/48th of the total number of shares each monthly anniversary of the Option Vesting Commencement Date becoming fully vested on the four-year anniversary of the Option Vesting Commencement Date. |
(4) | 1/48 of the shares subject to such option shall vest on the one-month anniversary of March 13, 2019 (the "Option Vesting Commencement Date") and 1/48th of the total number of shares each monthly anniversary of the Option Vesting Commencement Date becoming fully vested on the four-year anniversary of the Option Vesting Commencement Date. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
BROWN J. CHAD 530 FAIRVIEW AVENUE N SEATTLE, WA 98109 |
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| SVP, Sales & Marketing |
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Signatures
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/s/ Shannon Atchison, Attorney-in-fact | | 11/18/2020 |
**Signature of Reporting Person | Date |
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