Statement of Changes in Beneficial Ownership (4)
January 06 2021 - 4:27PM
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
*
Ramelmeier Rolf Andrew |
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)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) EVP, Technical Operations |
(Last)
(First)
(Middle)
C/O SANGAMO THERAPEUTICS, INC., 7000 MARINA BLVD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/31/2020 |
(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 | 12/31/2020 | | S | | 2464 | D | $16.74 | 65978 (1)(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 |
Explanation of Responses: |
(1) | Included in this total are: (a) 8,333 shares from the Reporting Person's February 25, 2019 restricted stock unit (RSU) grant that will vest in two remaining annual installments on February 25, 2021 and February 25, 2022, resulting in such RSU grant being vested in full on the third (3rd) anniversary of the grant date; and (b) 55,000 shares from the Reporting Person's February 25, 2020 RSU grant that will vest in three annual installments on February 25, 2021, February 25, 2022 and February 25, 2023, resulting in such RSU grant being vested in full on the third (3rd) anniversary of the grant date. |
(2) | All such RSUs are granted pursuant to the terms of the Issuer's Amended and Restated 2018 Equity Incentive Plan, as amended (the "2018 EIP, as amended") and vested or will vest with respect to 1/3rd of the shares in each respective RSU grant in three equal annual installments over the three-year period measured from the dates of grant, subject to the Reporting Person's Continuous Service as defined in the 2018 EIP, as amended, through such dates and subject to acceleration as defined in the 2018 EIP, as amended. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Ramelmeier Rolf Andrew C/O SANGAMO THERAPEUTICS, INC. 7000 MARINA BLVD BRISBANE, CA 94005 |
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| EVP, Technical Operations |
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Signatures
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/s/ Matthew Colvin, Attorney-in-Fact for Andy Ramelmeier | | 1/5/2021 |
**Signature of Reporting Person | Date |
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