Filing Details
- Accession Number:
- 0001209191-16-108931
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-03-16 18:31:43
- Reporting Period:
- 2016-03-14
- Filing Date:
- 2016-03-16
- Accepted Time:
- 2016-03-16 18:31:43
- 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 | 19820 North Creek Parkway, Suite 201 Bothell WA 98011 | 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 | 2016-03-14 | 12,188 | $0.00 | 77,107 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-03-15 | 3,254 | $0.83 | 73,853 | 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 | Disposition | 2016-03-14 | 1,875 | $0.00 | 1,875 | $0.00 |
| Common Stock | Restricted Stock Unit (RSU) | Disposition | 2016-03-14 | 2,500 | $0.00 | 2,500 | $0.00 |
| Common Stock | Restricted Stock Unit (RSU) | Disposition | 2016-03-14 | 3,125 | $0.00 | 9,375 | $0.00 |
| Common Stock | Restricted Stock Unit (RSU) | Disposition | 2016-03-14 | 4,688 | $0.00 | 4,688 | $0.00 |
| Common Stock | Stock Option (right to buy) | Acquisiton | 2016-03-14 | 135,000 | $0.00 | 135,000 | $0.85 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2016-04-13 | No | 4 | M | Direct | |
| 2,500 | 2017-01-31 | No | 4 | M | Direct | |
| 6,250 | 2018-04-13 | No | 4 | M | Direct | |
| 14,062 | 2019-06-18 | No | 4 | M | Direct | |
| 135,000 | 2026-03-14 | 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 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.
- 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, 25% of the total shares underlying the RSU vest annually on the later of (i) each anniversary of January 1, 2015; and (ii) the first day thereafter during which the issuer's trading window is open.
- Pursuant to the terms of the options, 50% of the total shares underlying the option vest on the achievement of certain milestones, and 50% vest in monthly installments over 24 months commencing one month from achievement of one of the milestones. The options will lapse in full if achievement of one of the milestones is not met on or before December 31, 2016.
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