Klompas Neil A's Form 4 filing
Zymeworks Inc. (ZYME) · filed Mar 11, 2022
- Accession no.
- 0000899243-22-010795
- Filed
- Mar 11, 2022
- Trade date
- Mar 10, 2022
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions and 3 derivative transactions. Open-market sales total $20.5K. It was filed 1 day after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Klompas Neil ACIK 0001761857 | Officer (Chief Operating Officer) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Mar 10, 2022 | Common Shares | MOption exerciseAcquired | +2,500 | $0.00F1 | $0 | 13,547 | Direct | |
| Mar 10, 2022 | Common Shares | MOption exerciseAcquired | +2,708 | $0.00F2 | $0 | 16,255 | Direct | |
| Mar 10, 2022 | Common Shares | SSaleDisposed | −2,979 | $6.88F4 | −$20,495.52 | 13,276 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Mar 10, 2022 | Common Shares | MOption exerciseDisposed | −2,500 | $0.00 | $0 | 2,500 | Direct | |
| Mar 10, 2022 | Common Shares | MOption exerciseDisposed | −2,708 | $0.00 | $0 | 5,417 | Direct | |
| Mar 10, 2022 | Common Shares | AGrant or awardAcquired | +200,000 | $0.00 | $0 | 200,000 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
Represents common shares issued upon vesting of one third of the restricted stock units ("RSUs") granted on March 10, 2020.
Referenced by the price of 1 transaction in Table I.
- F2
Represents common shares issued upon vesting of one third of the RSUs granted on March 10, 2021.
Referenced by the price of 1 transaction in Table I.
- F4
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $6.83 to $6.97, inclusive. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price.
Referenced by the price of 1 transaction in Table I.