Klompas Neil A's Form 4 filing
Zymeworks Inc.ZYME · filed Mar 14, 2023
- Accession no.
- 0000899243-23-008432
- Filed
- Mar 14, 2023
- Trade date
- Mar 10, 2023
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions and 2 derivative transactions. Open-market sales total $23.3K. It was filed 4 days 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 (President & COO) |
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, 2023 | Common Stock | MOption exerciseAcquired | +2,500 | $0.00F1 | $0 | 17,301 | Direct | |
| Mar 10, 2023 | Common Stock | MOption exerciseAcquired | +2,708 | $0.00F2 | $0 | 20,009 | Direct | |
| Mar 10, 2023 | Common Stock | SSaleDisposed | −2,977 | $7.83F4 | −$23,309.91 | 17,032 | 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, 2023 | Common Stock | MOption exerciseDisposed | −2,500 | $0.00 | $0 | 0 | Direct | |
| Mar 10, 2023 | Common Stock | MOption exerciseDisposed | −2,708 | $0.00 | $0 | 2,709 | 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 shares of common stock 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 shares of common stock 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 $7.815 to $7.86, 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.