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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Units | $ 0 | 12/14/2018 | A | 48,250 | (3) | 12/20/2022 | Common Stock | 48,250 | $ 0 | 48,250 | D | ||||
Stock Option (Right to Buy) | $ 15.97 | 12/14/2018 | A | 289,500 | (4) | 12/16/2028 | Common Stock | 289,500 | $ 0 | 289,500 | D | ||||
Restricted Stock Units | $ 0 | 12/16/2018 | M | 11,284 | (5) | 12/16/2020 | Common Stock | 11,284 | $ 0 | 22,570 | D | ||||
Restricted Stock Units | $ 0 | 12/16/2018 | M | 12,062 | (5) | 12/17/2021 | Common Stock | 12,062 | $ 0 | 36,188 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Sandor Victor C/O ARRAY BIOPHARMA INC. 3200 WALNUT STREET BOULDER, CO 80301 |
Chief Medical Officer |
Jason Haddock, attorney-in-fact for Victor Sandor | 12/18/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Shares issued upon settlement of Restricted Stock Units ("RSUs") granted on December 27, 2016 and December 16, 2017, as a result of the vesting of one fourth of such RSUs. |
(2) | Represents shares withheld to satisfy tax withholding obligations of the reporting person. |
(3) | RSUs awarded to the reporting person for no additional cash consideration and each represents a contingent right to receive one share of common stock. The RSUs vest and will be settled in common stock in four equal annual installments beginning on December 16, 2019. |
(4) | The options vest in four equal annual installments beginning on December 16, 2019. |
(5) | The RSUs vested and were settled in common stock on December 16, 2018. |