Galbraith Kenneth's Form 4 filing
Zymeworks Inc.ZYME · filed Jan 8, 2024
- Accession no.
- 0000950170-24-003099
- 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 $257.8K. 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 |
|---|---|
| Galbraith KennethCIK 0001567045 | Director, Officer (Chair & CEO) |
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 | +47,666 | $0.00F1 | $0 | 47,666 | Direct | |
| Jan 5, 2024 | Common Stock | SSaleDisposed | −18,198 | $10.65F3 | −$193,808.7 | 29,468 | Direct | |
| Jan 8, 2024 | Common Stock | SSaleDisposed | −5,706 | $11.22F4 | −$64,021.32 | 23,762 | 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 | −47,666 | $0.00 | $0 | 95,334 | Direct | |
| Jan 5, 2024 | Common Stock | AGrant or awardAcquired | +300,000 | $0.00 | $0 | 300,000 | Direct | |
| Jan 5, 2024 | Common Stock | 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 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.