Statement of Changes in Beneficial Ownership (4)
November 24 2020 - 6:05PM
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
*
EHRLICH JASON |
2. Issuer Name and Ticker or Trading Symbol
Kodiak Sciences Inc.
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KOD
]
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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) See Remarks |
(Last)
(First)
(Middle)
2631 HANOVER STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/20/2020 |
(Street)
PALO ALTO, CA 94304
(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 | 11/20/2020 | | M | | 6950 | A | $10.29 | 49793 | D | |
Common Stock | 11/20/2020 | | S(1) | | 505 | D | $133.713 (2) | 49288 | D | |
Common Stock | 11/20/2020 | | S(1) | | 259 | D | $134.719 (3) | 49029 | D | |
Common Stock | 11/20/2020 | | S(1) | | 400 | D | $137.267 (4) | 48629 | D | |
Common Stock | 11/20/2020 | | S(1) | | 981 | D | $138.56 (5) | 47648 | D | |
Common Stock | 11/20/2020 | | S(1) | | 2134 | D | $139.388 (6) | 45514 | D | |
Common Stock | 11/20/2020 | | S(1) | | 2614 | D | $139.964 (7) | 42900 | D | |
Common Stock | 11/20/2020 | | S(1) | | 57 | D | $140.875 | 42843 | 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 Option (Right to Buy) | $10.29 | 11/20/2020 | | M | | | 6950 | (8) | 8/29/2028 | Common Stock | 6950 | $0.00 | 338675 | D | |
Explanation of Responses: |
(1) | The sales reported in this Form 4 were effected pursuant to a 10b5-1 trading plan. |
(2) | The price reported in Column 4 is a weighted-average price. The shares were sold in multiple transactions ranging from $133.315 to $133.93, inclusive. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in these footnotes. |
(3) | The price reported in Column 4 is a weighted-average price. The shares were sold in multiple transactions ranging from $134.46 to $134.93, inclusive. |
(4) | The price reported in Column 4 is a weighted-average price. The shares were sold in multiple transactions ranging from $136.87 to $137.81, inclusive. |
(5) | The price reported in Column 4 is a weighted-average price. The shares were sold in multiple transactions ranging from $137.91 to $138.79, inclusive. |
(6) | The price reported in Column 4 is a weighted-average price. The shares were sold in multiple transactions ranging from $138.90 to $139.755, inclusive. |
(7) | The price reported in Column 4 is a weighted-average price. The shares were sold in multiple transactions ranging from $139.795 to $140.415, inclusive. |
(8) | Twenty-five percent of the shares subject to the option vested on September 1, 2019 and 1/48th of the shares subject to the option vest on the same day of each month thereafter. |
Remarks: Chief Medical Officer and Chief Development Officer |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
EHRLICH JASON 2631 HANOVER STREET PALO ALTO, CA 94304 |
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| See Remarks |
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Signatures
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/s/ Carlton Fleming, Attorney-in-Fact for Jason Ehrlich | | 11/24/2020 |
**Signature of Reporting Person | Date |
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