Statement of Changes in Beneficial Ownership (4)
March 27 2020 - 4:16PM
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
*
Hoof Torsten |
2. Issuer Name and Ticker or Trading Symbol
EXACT SCIENCES CORP
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EXAS
]
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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) General Manager, International |
(Last)
(First)
(Middle)
C/O EXACT SCIENCES CORP., 441 CHARMANY DRIVE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/15/2020 |
(Street)
MADISON, WI 53719
(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 | 2/15/2020 | | M | | 877 (1) | A | $0.00 | 4700 | D | |
Common Stock | 2/15/2020 | | M | | 1214 (1) | A | $0.00 | 5914 (2) | 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 |
Restricted Stock Units | (3) | 2/15/2020 | | M | | | 877 | (4) | (4) | Common Stock | 877 | $0.00 | 878 | D | |
Restricted Stock Units | (4) | 2/15/2020 | | M | | | 1214 | (5) | (5) | Common Stock | 1214 | $0.00 | 2429 | D | |
Explanation of Responses: |
(1) | Represents shares of common stock received upon vesting of a restricted stock unit award. |
(2) | In addition to the shares of Common Stock reported on this Form 4, which total 5,914 shares, Mr. Hoof also holds, in the aggregate, an additional 30,589 vested and unvested options to purchase shares of Common Stock and restricted stock units, with each restricted stock unit representing a contingent right to receive one share of Common Stock. |
(3) | Each restricted stock unit represents a contingent right to receive one share of common stock. |
(4) | Represents a restricted stock unit award granted on November 8, 2019 that partially vested on February 15, 2020. The restricted stock units vest in two equal annual installments beginning on February 15, 2020. |
(5) | Represents a restricted stock unit award granted on November 8, 2019 that partially vested on February 15, 2020. The restricted stock units vest in three equal annual installments beginning on February 15, 2020. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Hoof Torsten C/O EXACT SCIENCES CORP. 441 CHARMANY DRIVE MADISON, WI 53719 |
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| General Manager, International |
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Signatures
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/s/ Torsten Hoof by Mark R. Busch, attorney-in-fact | | 3/27/2020 |
**Signature of Reporting Person | Date |
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