Statement of Changes in Beneficial Ownership (4)
March 10 2020 - 5:03PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Suria Hamza |
2. Issuer Name and Ticker or Trading Symbol
ANAPTYSBIO, INC
[
ANAB
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) President, CEO |
(Last)
(First)
(Middle)
C/O ANAPTYSBIO, INC., 10421 PACIFIC CENTER COURT, SUITE 200 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/10/2020 |
(Street)
SAN DIEGO, CA 92121
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 3/10/2020 | | M | | 10000 | A | $1.12 | 47636 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security (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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Employee Stock Option (Right to Buy) | $1.12 | 3/10/2020 | | M | | | 10000 | (1) | 12/8/2021 | Common Stock | 10000 | $0.00 | 40361 (2) | D | |
Explanation of Responses: |
(1) | The stock option is fully vested and immediately exercisable. |
(2) | In addition to the remaining options to purchase 40,361 shares of common stock as set forth in Table II above, the Reporting Person also holds (i) additional options to purchase up to an aggregate of 1,088,477 shares of common stock, which options vest according to their terms, and (ii) 47,636 shares of common stock held directly. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Suria Hamza C/O ANAPTYSBIO, INC. 10421 PACIFIC CENTER COURT, SUITE 200 SAN DIEGO, CA 92121 | X |
| President, CEO |
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Signatures
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/s/Eric Loumeau, attorney-in-fact | | 3/10/2020 |
**Signature of Reporting Person | Date |
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