Statement of Changes in Beneficial Ownership (4)
June 25 2021 - 5:20PM
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
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BERTHELSEN SPENCER R |
2. Issuer Name and Ticker or Trading Symbol
IONIS PHARMACEUTICALS INC
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IONS
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
2855 GAZELLE COURT |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/23/2021 |
(Street)
CARLSBAD, CA 92010
(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 | 6/23/2021 | 6/23/2021 | M | | 15000 (1) | A | $9.3 | 115983 | D | |
Common Stock | 6/23/2021 | 6/23/2021 | S | | 15000 (2) | D | $37.74 | 100983 | D | |
Common Stock | | | | | | | | 70 | I | by Daughter (3) |
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 |
Non-Qualified Stock Option (right to buy) | $9.3 | 6/23/2021 | 6/23/2021 | M | | | 15000 | 7/1/2012 | 6/30/2021 | Common Stock | 15000 | $0.0 | 0 | D | |
Explanation of Responses: |
(1) | Acquired as a result of exercising a stock option that was scheduled to expire on June 30, 2021. The purchase reported on this Form 4 was effected pursuant to a Rule 10b5-1 Trading Plan adopted by the reporting person March 12, 2021. |
(2) | Shares sold pursuant to a Rule 10b5-1 Trading Plan adopted by the reporting person on March 12, 2021. |
(3) | The reporting person disclaims beneficial ownership of all securities held by his daughter, and this report should not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
BERTHELSEN SPENCER R 2855 GAZELLE COURT CARLSBAD, CA 92010 | X |
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Signatures
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By: Patrick R. O'Neil, attorney-in-fact For: Spencer R. Berthelsen | | 6/24/2021 |
**Signature of Reporting Person | Date |
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