Statement of Changes in Beneficial Ownership (4)
June 15 2021 - 7:07PM
Edgar (US Regulatory)
FORM 4
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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
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EHRLICH JASON |
2. Issuer Name and Ticker or Trading Symbol
Kodiak Sciences Inc.
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KOD
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) See Remarks |
(Last)
(First)
(Middle)
1200 PAGE MILL ROAD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/11/2021 |
(Street)
PALO ALTO, CA 94304
(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 | 6/11/2021 | | M | | 2900 | A | (1) | 66115 (2) | D | |
Common Stock | 6/15/2021 | | S(3) | | 1147 | D | $84.75 | 64968 | 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 |
Stock Option (Right to Buy) | $73.51 | 6/11/2021 | | A | | 18450 | | (4) | 12/29/2029 | Common Stock | 18450 | $0.00 | 18450 | D | |
Restricted Stock Units | (1) | 6/11/2021 | | A | | 11600 | | (4) | (4) | Common Stock | 11600 | $0.00 | 11600 | D | |
Restricted Stock Units | (1) | 6/11/2021 | | M | | | 2900 | (4) | (4) | Common Stock | 2900 | $0.00 | 8700 | D | |
Explanation of Responses: |
(1) | Each restricted stock unit ("RSU") represents a contingent right to receive one (1) share of the Issuer's common stock. |
(2) | Includes 54 shares acquired under the 2018 Employee Stock Purchase Plan on May 31, 2021. |
(3) | The sale was made to cover tax withholding obligations in connection with vesting and settlement of 1/4th of the Reporting Person's performance-based RSU granted on December 30, 2019. |
(4) | On December 30, 2019 the Reporting Person was awarded a performance-based award. 1/4th of the award vested on June 11, 2021 upon the achievement of certain performance criteria ("Performance Achievement Date"); thereafter, the award will vest in three equal annual installments on each of the first, second, and third anniversaries of the Performance Achievement Date, subject, in each case, to the Reporting Person's status as a Service Provider (as defined in the 2018 Equity Incentive Plan) on each vesting date. |
Remarks: Chief Medical Officer and Chief Development Officer |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
EHRLICH JASON 1200 PAGE MILL ROAD PALO ALTO, CA 94304 |
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| See Remarks |
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Signatures
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/s/ David Peinsipp, Attorney-in-Fact for Jason Ehrlich | | 6/15/2021 |
**Signature of Reporting Person | Date |
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