Filing Details
- Accession Number:
- 0000874015-17-000013
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-01-18 18:36:45
- Reporting Period:
- 2017-01-15
- Filing Date:
- 2017-01-18
- Accepted Time:
- 2017-01-18 18:36:45
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 874015 | Ionis Pharmaceuticals Inc | IONS | Pharmaceutical Preparations (2834) | 330336973 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 897667 | T Stanley Crooke | C/O Ionis Pharmaceuticals, Inc. 2855 Gazelle Court Carlsbad CA 92010 | Chairman And Ceo | Yes | 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 | 2017-01-15 | 5,547 | $0.00 | 30,576 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-01-17 | 3,008 | $46.29 | 27,568 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-01-15 | 7,812 | $0.00 | 35,380 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-01-17 | 4,236 | $46.29 | 31,144 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-01-15 | 6,875 | $0.00 | 38,019 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-01-17 | 3,728 | $46.29 | 34,291 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-01-15 | 8,133 | $0.00 | 42,424 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-01-17 | 4,410 | $46.29 | 38,014 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-01-15 | 416 | $0.00 | 2,586 | No | 4 | M | Indirect | By wife |
| Common Stock | Disposition | 2017-01-17 | 163 | $46.29 | 2,423 | No | 4 | S | Indirect | By wife |
| Common Stock | Acquisiton | 2017-01-15 | 354 | $0.00 | 2,777 | No | 4 | M | Indirect | By wife |
| Common Stock | Disposition | 2017-01-17 | 139 | $46.29 | 2,638 | No | 4 | S | Indirect | By wife |
| Common Stock | Acquisiton | 2017-01-15 | 363 | $0.00 | 3,001 | No | 4 | M | Indirect | By wife |
| Common Stock | Disposition | 2017-01-17 | 142 | $46.29 | 2,859 | No | 4 | S | Indirect | By wife |
| Common Stock | Acquisiton | 2017-01-15 | 334 | $0.00 | 3,193 | No | 4 | M | Indirect | By wife |
| Common Stock | Disposition | 2017-01-17 | 131 | $46.29 | 3,062 | No | 4 | S | Indirect | By wife |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Indirect | By wife |
| No | 4 | S | Indirect | By wife |
| No | 4 | M | Indirect | By wife |
| No | 4 | S | Indirect | By wife |
| No | 4 | M | Indirect | By wife |
| No | 4 | S | Indirect | By wife |
| No | 4 | M | Indirect | By wife |
| No | 4 | S | Indirect | By wife |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Restricted Stock Units | Acquisiton | 2017-01-15 | 27,168 | $0.00 | 27,168 | $0.00 |
| Common Stock | Restricted Stock Units | Acquisiton | 2017-01-15 | 2,692 | $0.00 | 2,692 | $0.00 |
| Common Stock | Restricted Stock Units | Disposition | 2017-01-15 | 5,547 | $0.00 | 5,547 | $0.00 |
| Common Stock | Restricted Stock Units | Disposition | 2017-01-15 | 7,812 | $0.00 | 7,812 | $0.00 |
| Common Stock | Restricted Stock Units | Disposition | 2017-01-15 | 6,875 | $0.00 | 6,875 | $0.00 |
| Common Stock | Restricted Stock Units | Disposition | 2017-01-15 | 8,133 | $0.00 | 8,133 | $0.00 |
| Common Stock | Restricted Stock Units | Disposition | 2017-01-15 | 416 | $0.00 | 416 | $0.00 |
| Common Stock | Restricted Stock Units | Disposition | 2017-01-15 | 354 | $0.00 | 354 | $0.00 |
| Common Stock | Restricted Stock Units | Disposition | 2017-01-15 | 363 | $0.00 | 363 | $0.00 |
| Common Stock | Restricted Stock Units | Disposition | 2017-01-15 | 334 | $0.00 | 334 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 27,168 | No | 4 | A | Direct | ||
| 2,692 | No | 4 | A | Indirect | ||
| 0 | No | 4 | M | Direct | ||
| 7,812 | No | 4 | M | Direct | ||
| 13,750 | No | 4 | M | Direct | ||
| 24,397 | No | 4 | M | Direct | ||
| 0 | No | 4 | M | Indirect | ||
| 354 | No | 4 | M | Indirect | ||
| 724 | No | 4 | M | Indirect | ||
| 999 | No | 4 | M | Indirect |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 725,391 | Indirect | By trust |
Footnotes
- Acquired pursuant to vesting and release of shares pursuant to a Restricted Stock Unit award granted on January 30, 2013.
- The sale was made pursuant to an automatic sale to cover the required tax withholding obligations pursuant to the 2011 Equity Incentive Plan Restricted Stock Unit Agreement and Grant Notice, dated January 30, 2013.
- Acquired pursuant to vesting and release of shares pursuant to a Restricted Stock Unit award granted on January 15, 2014.
- The sale was made pursuant to an automatic sale to cover the required tax withholding obligations pursuant to the 2011 Equity Incentive Plan Restricted Stock Unit Agreement and Grant Notice, dated January 15, 2014.
- Acquired pursuant to vesting and release of shares pursuant to a Restricted Stock Unit award granted on January 15, 2015.
- The sale was made pursuant to an automatic sale to cover the required tax withholding obligations pursuant to the 2011 Equity Incentive Plan Restricted Stock Unit Agreement and Grant Notice, dated January 15, 2015.
- Acquired pursuant to vesting and release of shares pursuant to a Restricted Stock Unit award granted on January 15, 2016.
- The sale was made pursuant to an automatic sale to cover the required tax withholding obligations pursuant to the 2011 Equity Incentive Plan Restricted Stock Unit Agreement and Grant Notice, dated January 15, 2016.
- Acquired pursuant to vesting and release of shares pursuant to a Restricted Stock Unit award granted on January 15, 2013.
- The sale was made pursuant to an automatic sale to cover the required tax withholding obligations pursuant to the 2011 Equity Incentive Plan Restricted Stock Unit Agreement and Grant Notice, dated January 15, 2013.
- Each Restricted Stock Unit represents a contingent right to receive one share of Ionis common stock, or its equivalent cash value.
- Grant 1/15/2017 to reporting person of Restricted Stock Units under the Ionis Pharmaceuticals, Inc. 2011 Equity Incentive Plan. Restricted Stock Units vest in four equal annual installments, the first installment vesting on January 15, 2018. Upon vesting, the restricted stock units will be paid out in whole shares of Ionis common stock or cash as may be determined by the Company. The RSU shall be fully vested on January 15, 2021. The RSU is vested as to 0 shares on January 15, 2017.
- Grant 1/15/2017 to reporting person's wife of Restricted Stock Units under the Ionis Pharmaceuticals, Inc. 2011 Equity Incentive Plan. Restricted Stock Units vest in four equal annual installments, the first installment vesting on January 15, 2018. Upon vesting, the restricted stock units will be paid out in whole shares of Ionis common stock or cash as may be determined by the Company. The RSU shall be fully vested on January 15, 2021. The RSU is vested as to 0 shares on January 15, 2017.
- Restricted Stock Units vest in four equal annual installments. Upon vesting, the restricted stock units will be paid out in whole shares of Ionis common stock or cash as may be determined by the Company.
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