Statement of Changes in Beneficial Ownership (4)
September 23 2020 - 04:36PM
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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OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5 |
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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 * Rolfe Lindsey |
2. Issuer Name and Ticker or Trading
Symbol Clovis Oncology, Inc. [ CLVS ] |
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)
C/O CLOVIS ONCOLOGY, INC., 5500 FLATIRON PARKWAY, SUITE
100 |
3. Date of Earliest Transaction (MM/DD/YYYY)
9/21/2020
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(Street)
BOULDER, CO 80301
(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 |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
Amount |
(A) or (D) |
Price |
Common Stock |
9/21/2020 |
|
M |
|
3437 |
A |
(1) |
52744 |
D |
|
Common Stock |
9/21/2020 |
|
S |
|
21 (2) |
D |
$6.86 |
52723 |
D |
|
Common Stock |
9/21/2020 |
|
S |
|
1726 (2) |
D |
$6.85 |
50997 |
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) |
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 |
Restricted Stock Units |
(1) |
9/21/2020 (3) |
|
M |
|
|
3437 |
(3) |
(3) |
Common Stock |
3437 |
$0.00 |
3438 |
D |
|
Explanation of
Responses: |
(1) |
Each Restricted Stock Unit
represents the right to receive one share of Common
Stock. |
(2) |
Represents the shares
automatically sold by the reporting person pursuant to an election
to satisfy tax withholding obligations in connection with the
vesting of the Restricted Stock Units listed in Table II. This sale
does not represent a discretionary trade by the reporting
person. |
(3) |
On December 19, 2016, the
reporting person was granted 55,000 Restricted Stock Units. 25% of
such Restricted Stock Units vested on December 19, 2017, and the
remainder vests in substantially equal installments over the 12
quarters immediately following such date. |
Remarks:
Chief Medical Officer and Executive Vice President of Clinical and
Preclinical Development and Pharmacovigilance |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
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Director |
10% Owner |
Officer |
Other |
Rolfe Lindsey
C/O CLOVIS ONCOLOGY, INC.
5500 FLATIRON PARKWAY, SUITE 100
BOULDER, CO 80301 |
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|
See Remarks |
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Signatures
|
/s/ Lindsey Rolfe |
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9/22/2020 |
**Signature of Reporting
Person |
Date |