Filing Details
- Accession Number:
- 0000899243-15-005118
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-09-21 21:00:27
- Reporting Period:
- 2015-09-17
- Filing Date:
- 2015-09-21
- Accepted Time:
- 2015-09-21 21:00:27
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1374690 | Zafgen Inc. | ZFGN | Pharmaceutical Preparations (2834) | 203857670 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1584516 | Alicia Secor | C/O Zafgen, Inc. 175 Portland Street, 4Th Floor Boston MA 02114 | Chief Commercial Officer | 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 | 2015-09-17 | 25,000 | $9.67 | 26,256 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2015-09-17 | 25,000 | $41.05 | 1,256 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2015-09-17 | 1,256 | $41.05 | 0 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | 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 | 2015-09-17 | 25,000 | $0.00 | 25,000 | $9.67 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 134,235 | 2024-01-30 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 4,000 | Indirect | See footnote |
Footnotes
- Includes 647 shares acquired by the Reporting Person under Zafgen, Inc.'s 2014 Employee Stock Purchase Plan (the "Plan") on June 30, 2015 and 609 shares acquired under the Plan on December 31, 2014.
- This sale of shares by the Reporting Person was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
- These shares are held by the Reporting Person's spouse. The Reporting Person disclaims beneficial ownership of the shares except to the extent of her pecuniary interest therein, if any.
- 25% of this option vested January 2, 2015, and the remainder vests in equal monthly installments thereafter over 36 months.
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