Astle Christopher's Form 4 filing
Zymeworks Inc.ZYME · filed Jan 8, 2024
- Accession no.
- 0000950170-24-003087
- Filed
- Jan 8, 2024
- Trade date
- Jan 5-8, 2024
- Filing delay
- 3 days
- Rule 10b5-1 plan
- Not checked
This filing lists 3 non-derivative transactions and 3 derivative transactions. Open-market sales total $64.7K. It was filed 3 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 |
|---|---|
| Astle ChristopherCIK 0001915257 | Officer (SVP & Chief Financial 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 |
|---|---|---|---|---|---|---|---|---|
| Jan 5, 2024 | Common Stock | MOption exerciseAcquired | +10,500 | $0.00F1 | $0 | 12,497 | Direct | |
| Jan 5, 2024 | Common Stock | SSaleDisposed | −4,563 | $10.65F3 | −$48,595.95 | 7,934 | Direct | |
| Jan 8, 2024 | Common Stock | SSaleDisposed | −1,431 | $11.22F4 | −$16,055.82 | 6,503 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jan 5, 2024 | Common Stock | MOption exerciseDisposed | −10,500 | $0.00 | $0 | 21,000 | Direct | |
| Jan 5, 2024 | Common Stock | AGrant or awardAcquired | +50,000 | $0.00 | $0 | 50,000 | Direct | |
| Jan 5, 2024 | Common Stock | AGrant or awardAcquired | +30,000 | $0.00 | $0 | 30,000 | 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 shares of common stock issued upon vesting of one third of the restricted stock units ("RSUs") granted on January 5, 2023.
Referenced by the price of 1 transaction in Table I.
- F3
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $10.55 to $10.845, 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.
- F4
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $10.49 to $11.58, 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.