Trubion Pharmaceuticals, Inc - Initial Statement of Beneficial Ownership (3)
March 24 2008 - 11:15AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB Number:
3235-0104
Expires:
January 31, 2008
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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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1. Name and Address of Reporting Person
*
Mohler Kendall
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2. Date of Event Requiring Statement (MM/DD/YYYY)
3/12/2008
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3. Issuer Name
and
Ticker or Trading Symbol
Trubion Pharmaceuticals, Inc [TRBN]
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(Last)
(First)
(Middle)
2401 4TH AVE., SUITE 1050
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
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X
___ Officer (give title below)
_____ Other (specify below)
SVP Research and Development /
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(Street)
SEATTLE, WA 98121
(City)
(State)
(Zip)
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5. 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 Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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140206
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Stock Option (right to buy)
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(1)
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12/20/2012
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Common Stock
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34882
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$0.314
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D
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Stock Option (right to buy)
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(2)
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12/16/2014
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Common Stock
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39730
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$0.314
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D
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Stock Option (right to buy)
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(2)
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2/3/2015
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Common Stock
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13243
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$0.314
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D
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Stock Option (right to buy)
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(2)
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11/30/2015
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Common Stock
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19865
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$2.697
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D
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Stock Option (right to buy)
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(3)
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1/25/2016
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Common Stock
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7335
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$6.522
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D
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Stock Option (right to buy)
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(2)
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3/8/2016
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Common Stock
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19865
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$6.522
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D
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Stock Option (right to buy)
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(4)
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2/24/2016
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Common Stock
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23919
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$6.522
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D
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Stock Option (right to buy)
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(5)
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4/28/2015
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Common Stock
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770
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$0.314
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D
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Stock Option (right to buy)
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(6)
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1/31/2018
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Common Stock
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52000
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$8.98
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D
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Explanation of Responses:
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(
1)
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Fully vested as of November 15, 2006.
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(
2)
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Vests at the rate of 25% on July 13, 2005, and 1/48th monthly thereafter, such that all of the shares will be fully vested as of July 13, 2008.
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(
3)
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Fully vested as of January 1, 2007.
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(
4)
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Vests at the rate of 25% on January 1, 2007, and 1/48th of monthly thereafter, such that all of the shares will be fully vested as of January 1, 2010.
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(
5)
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Fully vested as of January 1, 2006.
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(
6)
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Vests at the rate of 1/48th on February 1, 2008, and 1/48th monthly thereafter, such that all of the shares will be fully vested as of January 1, 2012.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Mohler Kendall
2401 4TH AVE., SUITE 1050
SEATTLE, WA 98121
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SVP Research and Development
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Signatures
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/s/ Kathleen Deeley, Attorney-in-fact
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3/24/2008
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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