Filing Details
- Accession Number:
- 0001567619-21-006986
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-03-25 19:31:59
- Reporting Period:
- 2021-03-23
- Accepted Time:
- 2021-03-25 19:31:59
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1528115 | Annexon Inc. | ANNX | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1465994 | Jennifer Lew | C/O Annexon, Inc. 180 Kimball Way, Suite 200 South San Francisco CA 94080 | Evp & Chief Financial 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 | 2021-03-23 | 5,000 | $7.49 | 7,000 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-03-23 | 1,400 | $27.51 | 5,600 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-03-23 | 1,800 | $28.43 | 3,800 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-03-23 | 1,800 | $29.16 | 2,000 | 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 | |
| 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 | 2021-03-23 | 5,000 | $0.00 | 5,000 | $7.49 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 150,793 | 2029-06-20 | No | 4 | M | Direct |
Footnotes
- The transactions reported herein were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan.
- This transaction was executed in multiple trades in prices ranging from $26.94 to $27.93, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.
- This transaction was executed in multiple trades in prices ranging from $27.97 to $28.965, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.
- This transaction was executed in multiple trades in prices ranging from $28.98 to $29.61, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.
- 25% of the shares subject to the option vest on the first anniversary measured from June 3, 2019 (the "Vesting Commencement Date"), and 1/48th of the total number of shares vest monthly thereafter, such that 100% of the shares subject to the option will be fully vested and exercisable on the fourth anniversary of the Vesting Commencement Date.
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