Statement of Changes in Beneficial Ownership (4)
September 11 2020 - 6:19PM
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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Hillan Kenneth J. |
2. Issuer Name and Ticker or Trading Symbol
SANGAMO THERAPEUTICS, INC
[
SGMO
]
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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)
C/O SANGAMO THERAPEUTICS, INC., 7000 MARINA BLVD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
9/9/2020 |
(Street)
BRISBANE, CA 94005
(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 | 9/9/2020 | | A | | 15000 (1) | A | $0.00 | 15000 | 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 |
Stock Option (Right to Buy) | $10.43 | 9/9/2020 | | A | | 30000 | | (2) | 9/8/2030 | Common Stock | 30000 | $0.00 | 30000 | D | |
Explanation of Responses: |
(1) | Includes 15,000 shares of common stock issuable upon settlement of restricted stock units ("RSUs") granted to the Reporting Person on September 9, 2020. The RSUs will vest with respect to 1/3rd of the shares in three equal annual installments over the three-year period measured from the date of grant, subject to the Reporting Person's Continuous Service (as defined in the Issuer's Amended and Restated 2018 Equity Incentive Plan, as amended (the "2018 EIP, as amended")), through such dates and subject to acceleration as defined in the 2018 EIP, as amended. |
(2) | Each option is immediately exercisable for all option shares, however shares purchased pursuant to the option are subject to certain repurchase rights by the Issuer upon cessation of the Reporting Person's Continuous Service, as defined in the 2018 EIP, as amended. The shares subject to the option vest in 36 successive equal monthly installments upon completion of each month of Continuous Service, as defined in the 2018 EIP, as amended, by the Reporting Person measured from the September 9, 2020 grant date, through each such vesting date, and subject to acceleration as provided in the 2018 EIP, as amended. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Hillan Kenneth J. C/O SANGAMO THERAPEUTICS, INC. 7000 MARINA BLVD BRISBANE, CA 94005 | X |
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Signatures
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/s/ Matthew Colvin, Attorney-in-Fact for Kenneth J. Hillan, M.B., Ch.B. | | 9/11/2020 |
**Signature of Reporting Person | Date |
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