Filing Details
- Accession Number:
- 0001209191-14-021637
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-03-18 19:23:27
- Reporting Period:
- 2014-03-14
- Filing Date:
- 2014-03-18
- Accepted Time:
- 2014-03-18 19:23:27
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 949858 | Oncogenex Pharmaceuticals Inc. | OGXI | In Vitro & In Vivo Diagnostic Substances (2835) | 954343413 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1229762 | Cindy Jacobs | 1522 217Th Place Se, Suite 100 Bothell WA 98021 | Evp, Cmo | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2014-03-14 | 4,375 | $0.00 | 30,155 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-03-17 | 1,250 | $12.25 | 28,905 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Restricted Stock Unit (RSU) | Disposition | 2014-03-14 | 1,875 | $0.00 | 1,875 | $0.00 |
| Common Stock | Restricted Stock Unit (RSU) | Disposition | 2014-03-14 | 2,500 | $0.00 | 2,500 | $0.00 |
| Common Stock | Stock Option (right to buy) | Acquisiton | 2014-03-14 | 25,000 | $0.00 | 25,000 | $11.79 |
| Common Stock | Restricted Stock Unit (RSU) | Acquisiton | 2014-03-14 | 12,500 | $0.00 | 12,500 | $0.00 |
| Common Stock | Restricted Stock Unit (RSU) | Acquisiton | 2014-03-14 | 25,000 | $0.00 | 25,000 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 3,750 | 2016-01-31 | No | 4 | M | Direct | |
| 7,500 | 2017-01-31 | No | 4 | M | Direct | |
| 25,000 | 2024-03-14 | No | 4 | A | Direct | |
| 12,500 | 2018-04-13 | No | 4 | A | Direct | |
| 25,000 | 2016-03-31 | No | 4 | A | Direct |
Footnotes
- Represents shares of common stock acquired upon settlement of the restricted stock units ("RSUs") listed in Table II.
- Represents shares of common stock that have been sold by the issuer to satisfy the tax liability in connection with the settlement of RSUs.
- Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock at settlement.
- Pursuant to the terms of the RSU, 25% of the total shares underlying the RSU vest on March 12, 2013 and then annually on the later of: (i) each anniversary of January 1, 2012; and (ii) the first day thereafter during which the issuer's trading window is open.
- Pursuant to the terms of the RSU, 25% of the total shares underlying the RSU vest annually on the later of (i) each anniversary of January 1, 2013; and (ii) the first day thereafter during which the issuer's trading window is open.
- The options vest in monthly installments over 48 months commencing one month from January 1, 2014.
- Pursuant to the terms of the RSU, 25% of the total shares underlying the RSU vest annually on the later of (i) each anniversary of January 1, 2014; and (ii) the first day thereafter during which the issuer's trading window is open.
- Pursuant to the terms of the RSU, 100% of the total shares underlying the RSU vest on the later of (i) the achievement of certain milestones for certain clinical trials, and (ii) the first trading day thereafter on which the issuer's trading window is open, although less than 100% of the total shares may vest upon the achievement of certain, but not all, of the milestones.
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