UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Option (Right to Buy) | 01/12/2018(1) | 01/11/2027 | Common Stock | 25,000 | $ 2.31 | D | |
Employee Stock Option (Right to Buy) | (2) | 01/11/2027 | Common Stock | 20,000 | $ 2.31 | D | |
Employee Stock Option (Right to Buy) | 01/15/2017(3) | 01/14/2026 | Common Stock | 25,000 | $ 3.56 | D | |
Employee Stock Option (Right to Buy) | 01/19/2016(3) | 01/18/2025 | Common Stock | 12,000 | $ 10.7 | D | |
Employee Stock Option (Right to Buy) | 01/10/2017(4) | 01/09/2024 | Common Stock | 12,001 | $ 14.2 | D | |
Employee Stock Option (Right to Buy) | 08/26/2014(5) | 08/25/2023 | Common Stock | 15,000 | $ 13.6 | D | |
Employee Stock Option (Right to Buy) | 11/01/2016(6) | 10/31/2022 | Common Stock | 2,000 | $ 33.8 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Mammen Mammen C/O VICAL INCORPORATED 10390 PACIFIC CENTER COURT SAN DIEGO, CA 92121 |
Sr VP, Clinical Development |
/s/ Sandy R. Medina, via Power of Attorney | 05/30/2017 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | 25% of the shares subject to the stock option vest and become exercisable on the date reported in column 2 above, the first anniversary of the grant date. The remaining shares vest in equal quarterly installments over the remaining three years. |
(2) | 50% of the shares subject to the stock option vest and become exercisable on each of January 12, 2018 and January 12, 2019. |
(3) | 25% of the shares subject to the stock option vested and became exercisable on the date reported in column 2 above, the first anniversary of the grant date. The remaining shares vest in equal quarterly installments over the remaining three years. |
(4) | The option became fully vested and exercisable on the date reported in column 2 above. One-third of the shares subject to the stock option vested and became exercisable on January 10, 2015, the first anniversary of the grant date. The remaining shares vested in equal quarterly installments thereafter. |
(5) | The option became fully vested and exercisable on the date reported in column 2 above. |
(6) | The option became fully vested and exercisable on the date reported in column 2 above. 25% of the shares subject to the stock option vested and became exercisable on November 1, 2013, the first anniversary of the grant date. The remaining shares vested in equal quarterly installments thereafter. |
Remarks: Securities acquired by the Reporting Person prior to May 26, 2016 reflect the 1-for-10 reverse split of the Issuer's common stock on such date. |