Zymeworks BC Inc. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 27 rows in 2020. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2020-12-09: Reporting owner Klompas Neil A; Form 4; Security Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2020-12-09: Reporting owner Klompas Neil A; Form 4; Security Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2020-12-04: Reporting owner HAUSMAN DIANA; Form 4; Security Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2020-12-04: Reporting owner HAUSMAN DIANA; Form 4; Security Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2020-12-09 | Klompas Neil A Officer (Chief Financial Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,380 0 owned after | $4.19 exercise price | 2020-12-11 | |
| 2020-12-09 | Klompas Neil A Officer (Chief Financial Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −16,620 4,330 owned after | $5.67 exercise price | 2020-12-11 | |
| 2020-12-04 | HAUSMAN DIANA Officer (Chief Medical Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,850 68,028 owned after | $9.82 exercise price | 2020-12-04 | |
| 2020-12-04 | HAUSMAN DIANA Officer (Chief Medical Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,182 47,673 owned after | $11.84 exercise price | 2020-12-04 | |
| 2020-12-02 | HAUSMAN DIANA Officer (Chief Medical Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −127 70,751 owned after | $9.82 exercise price | 2020-12-03 | |
| 2020-12-02 | HAUSMAN DIANA Officer (Chief Medical Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −574 50,281 owned after | $11.84 exercise price | 2020-12-03 | |
| 2020-12-01 | HAUSMAN DIANA Officer (Chief Medical Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,122 70,878 owned after | $9.82 exercise price | 2020-12-03 | |
| 2020-12-01 | HAUSMAN DIANA Officer (Chief Medical Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −14,145 50,855 owned after | $11.84 exercise price | 2020-12-03 | |
| 2020-11-18 | O'Driscoll Kathryn Officer (Chief People Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,920 97,080 owned after | $34.24 exercise price | 2020-11-19 | |
| 2020-09-14 | HAUSMAN DIANA Officer (Chief Medical Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 14,702 owned after | $15.74 exercise price | 2020-09-16 | |
| 2020-09-14 | HAUSMAN DIANA Officer (Chief Medical Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 17,235 owned after | $17.15 exercise price | 2020-09-16 | |
| 2020-09-14 | HAUSMAN DIANA Officer (Chief Medical Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 75,000 owned after | $9.82 exercise price | 2020-09-16 | |
| 2020-09-14 | HAUSMAN DIANA Officer (Chief Medical Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 65,000 owned after | $11.84 exercise price | 2020-09-16 | |
| 2020-05-08 | Baker Bros. Advisors (GP) LLC | BAKER FELIX | BAKER JULIAN | Baker Brothers Life Sciences LP | BAKER BROS. ADVISORS LP | 667, L.P. Director | Director | Director | Director | Director | Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Indirect · See Footnotes | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,000 9,000 owned after | $35.49 exercise price | 2020-05-12 | |
| 2020-05-08 | Sacks Natalie Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,000 9,000 owned after | $35.49 exercise price | 2020-05-12 | |
| 2020-05-08 | Mahony Susan Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,000 9,000 owned after | $35.49 exercise price | 2020-05-12 | |
| 2020-05-08 | Hillan Kenneth J. Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,000 9,000 owned after | $35.49 exercise price | 2020-05-12 | |
| 2020-05-08 | Zoth Lota S. Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,000 9,000 owned after | $35.49 exercise price | 2020-05-12 | |
| 2020-05-08 | Cox Troy Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,000 9,000 owned after | $35.49 exercise price | 2020-05-12 | |
| 2020-05-08 | RENTON HOLLINGS Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,000 9,000 owned after | $35.49 exercise price | 2020-05-12 | |
| 2020-04-13 | Tehrani Ali Director, Officer (Chief Executive Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,000 57,660 owned after | $3.85 exercise price | 2020-04-13 | |
| 2020-03-16 | BAKER FELIX | 667, L.P. | BAKER JULIAN | Baker Brothers Life Sciences LP | Baker Bros. Advisors (GP) LLC | BAKER BROS. ADVISORS LP Director | Director | Director | Director | Director | Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Indirect · See Footnotes | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +18,000 18,000 owned after | $24.28 exercise price | 2020-03-16 | |
| 2020-03-10 | O'Driscoll Kathryn Officer (Chief People Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +24,375 24,375 owned after | $35.20 exercise price | 2020-03-11 | |
| 2020-03-10 | Polverino Anthony J. Officer (Chief Scientific Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +45,000 45,000 owned after | $35.20 exercise price | 2020-03-11 | |
| 2020-03-10 | HAUSMAN DIANA Officer (Chief Medical Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +45,000 45,000 owned after | $35.20 exercise price | 2020-03-11 | |
| 2020-03-10 | Klompas Neil A Officer (Chief Financial Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +45,000 45,000 owned after | $35.20 exercise price | 2020-03-11 | |
| 2020-03-10 | Tehrani Ali Director, Officer (Chief Executive Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +138,750 138,750 owned after | $35.20 exercise price | 2020-03-11 |