Statement of Changes in Beneficial Ownership (4)
October 05 2021 - 4:06PM
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
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
JOHNSON DAVID LEE |
2. Issuer Name and Ticker or Trading Symbol
Global Blood Therapeutics, Inc.
[
GBT
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Commercial Officer |
(Last)
(First)
(Middle)
C/O GLOBAL BLOOD THERAPEUTICS, INC., 181 OYSTER POINT BLVD. |
3. Date of Earliest Transaction
(MM/DD/YYYY)
10/1/2021 |
(Street)
SOUTH SAN FRANCISCO,, CA 94080
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
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 | 10/1/2021 | | M | | 4375 | A | (1) | 41242 | D | |
Common Stock | 10/1/2021 | | F | | 2170 (2) | D | $26.25 | 39072 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
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) | 10/1/2021 | | M | | | 4375 | (3) | (3) | Common Stock | 4375 | $0.00 | 4375 | D | |
Explanation of Responses: |
(1) | Each Restricted Stock Unit ("RSU") represents the right to receive one share of the Issuer's Common Stock. |
(2) | Represents number of shares of Issuer's Common Stock withheld to satisfy the Reporting Person's tax obligations in connection with the vesting of 4,375 shares of Common Stock underlying the Reporting Person's RSUs. |
(3) | The shares of Common Stock underlying the RSUs vested with respect to 1/4th of the underlying shares on April 1, 2019. Thereafter, 1/6th of the remaining underlying shares vest on a semi-annual basis until fully vested on April 1, 2022, subject to the Reporting Person's continuous service with the Issuer. The RSUs are subject to accelerated vesting upon termination without cause or resignation for good reason after a change of control of the Issuer. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
JOHNSON DAVID LEE C/O GLOBAL BLOOD THERAPEUTICS, INC. 181 OYSTER POINT BLVD. SOUTH SAN FRANCISCO,, CA 94080 |
|
| Chief Commercial Officer |
|
Signatures
|
/s/ Miguel Carrillo, as Attorney-in-Fact | | 10/5/2021 |
**Signature of Reporting Person | Date |
Global Blood Therapeutics (NASDAQ:GBT)
Historical Stock Chart
From Oct 2024 to Nov 2024
Global Blood Therapeutics (NASDAQ:GBT)
Historical Stock Chart
From Nov 2023 to Nov 2024