Filing Details
- Accession Number:
- 0001181431-11-028561
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-05-10 16:44:03
- Reporting Period:
- 2011-05-09
- Filing Date:
- 2011-05-10
- Accepted Time:
- 2011-05-10 16:44:03
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1325879 | Aveo Pharmaceuticals Inc | AVEO | Pharmaceutical Preparations (2834) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1241221 | Tuan Ngoc Ha | C/O Aveo Pharmaceuticals, Inc. 75 Sidney Street Cambridge MA 02139 | Chief Executive Officer | 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 | 2011-05-09 | 8,400 | $2.00 | 92,804 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-05-09 | 8,400 | $16.04 | 84,404 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2011-05-10 | 2,300 | $2.00 | 86,704 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-05-10 | 2,300 | $16.42 | 84,404 | No | 4 | S | Direct |
| 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 |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (right-to-buy) | Disposition | 2011-05-09 | 8,400 | $0.00 | 8,400 | $2.00 |
| Common Stock | Stock Option (right-to-buy) | Disposition | 2011-05-10 | 2,300 | $0.00 | 2,300 | $2.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 75,800 | 2016-02-09 | No | 4 | M | Direct | |
| 73,500 | 2016-02-09 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 170,329 | Indirect | Held by GRAT |
Footnotes
- The exercise and sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 11, 2011.
- The price reported in this Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $16.00 to $16.08, inclusive. The reporting person undertakes to provide AVEO Pharmaceuticals, Inc., any security holder of AVEO Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the ranges set forth in this footnote.
- Shares are held by Gabriel Schmergel, Trustee, or his successor in trust, of the Tuan Ha-Ngoc 2009 GRAT. Mr. Schmergel is trustee of the Tuan Ha-Ngoc 2009 GRAT and he exercises sole voting and investment power over the shares held of record by such trust. Mr. Ha-Ngoc disclaims beneficial ownership over all such shares, except to the extent of his pecurniary interest therein.
- This option was fully vested as of January 1, 2010.
- The price reported in this Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $16.1601 to $16.4217, inclusive. The reporting person undertakes to provide AVEO Pharmaceuticals, Inc., any security holder of AVEO Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the ranges set forth in this footnote.
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