Initial Statement of Beneficial Ownership (3)
March 19 2021 - 7:16PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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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Fontenot Jason D. |
2. Date of Event Requiring Statement (MM/DD/YYYY)
3/11/2021
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3. Issuer Name and Ticker or Trading Symbol
SANGAMO THERAPEUTICS, INC [SGMO]
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(Last)
(First)
(Middle)
7000 MARINA BLVD |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) SVP, Chief Scientific Officer / |
(Street)
BRISBANE, CA 94005
(City)
(State)
(Zip)
| 5. 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
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 63307 (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. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (Right to Buy) | (3) | 4/24/2029 | Common Stock | 100000 | $11.85 | D | |
Stock Option (Right to Buy) | (3) | 2/24/2030 | Common Stock | 50000 | $6.80 | D | |
Stock Option (Right to Buy) | (3) | 2/24/2031 | Common Stock | 44000 | $11.19 | D | |
Explanation of Responses: |
(1) | Includes: (a) 6,667 shares of common stock issuable upon settlement of restricted stock units ("RSUs") granted to the Reporting Person on April 25, 2019; (b) 16,667 shares of common stock issuable upon settlement of RSUs granted to the Reporting Person on February 25, 2020; and (c) 22,000 shares of common stock issuable upon settlement of RSUs granted to the Reporting Person on February 25, 2021. All such RSUs 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. |
(2) | Includes 10,000 shares of common stock issuable upon settlement of RSUs granted to the Reporting Person on February 25, 2021. The RSUs will fully vest on the one-year anniversary of the date of grant, subject to the Reporting Person's Continuous Service through such date as defined in the Issuer's 2018 EIP as amended. |
(3) | One-quarter (1/4) of the option shares vest and become exercisable upon completion of one (1) year of Continuous Service, as defined in the 2018 EIP, as amended, by the Reporting Person measured from the April 25, 2019, February 25, 2020 and February 25, 2021 grant dates respectively, and the remainder will vest and become exercisable in equal monthly installments for thirty-six (36) months thereafter, subject to the Reporting Person's Continuous Service as defined in the 2018 EIP, as amended, 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 |
Fontenot Jason D. 7000 MARINA BLVD BRISBANE, CA 94005 |
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| SVP, Chief Scientific Officer |
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Signatures
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/s/ Matthew Colvin, Attorney-in-Fact for Jason D. Fontenot, Ph.D. | | 3/19/2021 |
**Signature of Reporting Person | Date |
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