Statement of Changes in Beneficial Ownership (4)
October 19 2021 - 6:30PM
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
*
Schneider Eugene |
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)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) EVP, Chf Clinical Develop Offc |
(Last)
(First)
(Middle)
2855 GAZELLE COURT |
3. Date of Earliest Transaction
(MM/DD/YYYY)
10/15/2021 |
(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 | 10/15/2021 | 10/15/2021 | M(1) | | 417 (1) | A | $0.0 | 7320 | D | |
Common Stock | 10/15/2021 | 10/15/2021 | F(2) | | 145 (2) | D | $35.1 | 7175 | 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 Unit | $0.0 (3) | 10/15/2021 | 10/15/2021 | M | | | 417 | (4) | (4) | Common Stock | 417 | $0.0 | 30592 | D | |
Explanation of Responses: |
(1) | Acquired pursuant to vesting and release of shares in accordance with a Restricted Stock Unit award. |
(2) | Shares withheld to cover the required tax withholding obligations pursuant to the Ionis Pharmaceuticals, Inc. Amended and Restated 2011 Equity Incentive Plan. |
(3) | Each Restricted Stock Unit represents a contingent right to receive one share of Ionis common stock, or its equivalent cash value. |
(4) | Restricted Stock Units vest in four equal annual installments. Upon vesting, the Restricted Stock Units will be paid in whole shares of Ionis common stock or cash as may be determined by the Company. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Schneider Eugene 2855 GAZELLE COURT CARLSBAD, CA 92010 |
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| EVP, Chf Clinical Develop Offc |
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Signatures
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By: Patrick R. O'Neil, attorney-in-fact For: Eugene Schneider | | 10/19/2021 |
**Signature of Reporting Person | Date |
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