Empfield James R.'s Form 4 filing
Xenon Pharmaceuticals Inc. (XENE) · filed Mar 8, 2022
- Accession no.
- 0001209191-22-017316
- Filed
- Mar 8, 2022
- Trade date
- Mar 4-7, 2022
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 9 non-derivative transactions and 3 derivative transactions. Open-market sales total $1.57M. 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 |
|---|---|
| Empfield James R.CIK 0001665430 | Officer (EVP, Drug Discovery) |
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 4, 2022 | Common Shares | MOption exerciseAcquired | +25,000 | $8.40 | +$210,000 | 35,000 | Direct | |
| Mar 4, 2022 | Common Shares | FTax withholdingDisposed | −6,685 | $31.42F1 | −$210,042.7 | 28,315 | Direct | |
| Mar 4, 2022 | Common Shares | SSaleDisposed | −18,315 | $30.79F2 | −$563,918.85 | 10,000 | Direct | |
| Mar 7, 2022 | Common Shares | MOption exerciseAcquired | +2,500 | $8.40 | +$21,000 | 12,500 | Direct | |
| Mar 7, 2022 | Common Shares | FTax withholdingDisposed | −695 | $30.23F3 | −$21,009.85 | 11,805 | Direct | |
| Mar 7, 2022 | Common Shares | MOption exerciseAcquired | +40,000 | $6.76 | +$270,400 | 51,805 | Direct | |
| Mar 7, 2022 | Common Shares | FTax withholdingDisposed | −8,952 | $30.23F3 | −$270,618.96 | 42,853 | Direct | |
| Mar 7, 2022 | Common Shares | SSaleDisposed | −1,805 | $30.62 | −$55,269.1 | 41,048 | Direct | |
| Mar 7, 2022 | Common Shares | SSaleDisposed | −31,048 | $30.54F4 | −$948,205.92 | 10,000 | 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 4, 2022 | Common Shares | MOption exerciseDisposed | −25,000 | $0.00 | $0 | 0 | Direct | |
| Mar 7, 2022 | Common Shares | MOption exerciseDisposed | −2,500 | $0.00 | $0 | 0 | Direct | |
| Mar 7, 2022 | Common Shares | MOption exerciseDisposed | −40,000 | $0.00 | $0 | 0 | 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 the closing price of the Company's common shares on March 3, 2022 which was converted to a Canadian dollar amount for purposes of net settlement calculations.
Referenced by the price of 1 transaction in Table I.
- F2
The "Amount" and "Price" reported in this Column 4 reflect the aggregate number and weighted-average price, respectively, of shares sold. These shares were sold in multiple transactions at prices ranging from $30.21 to $31.0296, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein.
Referenced by the price of 1 transaction in Table I.
- F3
Represents the closing price of the Company's common shares on March 4, 2022 which was converted to a Canadian dollar amount for purposes of net settlement calculations.
Referenced by the price of 2 transactions in Table I.
- F4
The "Amount" and "Price" reported in this Column 4 reflect the aggregate number and weighted-average price, respectively, of shares sold. These shares were sold in multiple transactions at prices ranging from $30.5161 to $30.6208, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein.
Referenced by the price of 1 transaction in Table I.