Filing Details
- Accession Number:
- 0001408498-14-000003
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-08-19 14:15:51
- Reporting Period:
- 2014-08-18
- Filing Date:
- 2014-08-19
- Accepted Time:
- 2014-08-19 14:15:51
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1400482 | Acucela Inc. | M?????? | Pharmaceutical Preparations (2834) | 020592619 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1408498 | L David Lowrance | C/O Acucela Inc. 1301 Second Ave., Suite 1900 Seattle WA 98101 | Cfo, Secretary, Treasurer | 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 | 2014-08-18 | 40,500 | $4.52 | 40,500 | No | 4 | M | Direct | |
Common Stock | Disposition | 2014-08-18 | 40,500 | $7.05 | 0 | 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 | Stock Option (right to buy) | Disposition | 2014-08-18 | 40,500 | $4.52 | 40,500 | $4.52 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
27,000 | 2021-05-17 | No | 4 | M | Direct |
Footnotes
- The issuer's common stock trades on the Tokyo Stock Exchange under the symbol referenced in the issuer's registration statement on Form S-1 (File No. 333-1929000).
- The shares were sold at a price of 729 Japanese Yen. The U.S. per share price reflects the average of the buy and sell Japanese Yen-to-U.S. Dollar exchange rates on the transaction date divided by the number of shares sold.
- The option vests and is exercisable at the rate of 1/5th of the total shares on April 23, 2012 and then an additional 1/5th yearly thereafter, with 100% vested and exercisable on April 23, 2016, subject to the reporting person's provision of service to the issuer on each vesting date.