Filing Details
- Accession Number:
- 0001400482-16-000220
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-08-18 18:53:24
- Reporting Period:
- 2016-08-18
- Filing Date:
- 2016-08-18
- Accepted Time:
- 2016-08-18 18:53:24
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1400482 | Acucela Inc. | M?????? | () | 4 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1016353 | H Edward Danse | C/O Acucela Inc. 1301 2Nd Ave., Suite 4200 Seattle WA 98101 | Chief Business 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 | 2016-08-18 | 75,101 | $5.48 | 181,493 | No | 4 | M | Direct | |
Common Stock | Disposition | 2016-08-18 | 75,101 | $10.81 | 106,392 | 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 | 2016-08-18 | 75,101 | $0.00 | 75,101 | $5.48 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
165,222 | 2025-05-01 | 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. 333-192900).
- The shares were sold at a price of 1082 Japanese Yen. The U.S. per share price in this Column 4 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. These shares were sold in multiple transactions at prices ranging from 1054 to 1120 Japanese Yen, 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.
- The exercise price of the stock options is the closing price of the Issuer's common stock on May 7, 2015, which is the first trading day of the Issuer's common stock on the Tokyo Stock Exchange following the May 1, 2015 grant date.
- Twenty-five percent (25%) of the shares subject to the option vest on 5/1/2016, and the remaining 75% of the shares subject to the option vest on a monthly basis over the following three years, with 100% vested and exercisable on 5/1/2019, subject to the optionee's provision of service to the Issuer on each such vesting date.