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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Option (right to buy) | $ 5.04 | 08/10/2018 | M | 75,000 | 12/16/2009(4) | 12/15/2018 | Common Stock | 75,000 | $ 0 | 0 | D | ||||
Option (right to buy) | $ 4.42 | 08/10/2018 | M | 33,333 | 02/26/2010(5) | 02/25/2019 | Common Stock | 33,333 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SCANGOS GEORGE A C/O EXELIXIS, INC. 1851 HARBOR BAY PARKWAY ALAMEDA, CA 94502 |
X |
/s/ Jennifer Drimmer Rokovich, Attorney in Fact | 08/10/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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) | Shares held by George A. Scangos and Leslie S. Wilson, as Trustees of the Jennifer Scangos Trust. |
(2) | Shares held by George A. Scangos and Leslie S. Wilson, as Trustees of the Katherine Scangos Trust. |
(3) | Represents shares of Exelixis, Inc. common stock under the Exelixis, Inc. 401(k) Pan, pursuant to a plan statement dated as of August 9, 2018. |
(4) | The option, representing the right to purchase a total of 200,000 shares of Exelixis, Inc. common stock, became exercisable as to 50,000 shares on December 16, 2009, and thereafter as to 1/48th of the original number of shares subject to the option on each monthly anniversary of the original grant date (December 16, 2008). The option ceased vesting on July 15, 2010, in connection with the Reporting Person's resignation as President and Chief Executive Officer of Exelixis, Inc., at which time the option was exercisable as to as to 75,000 shares of Exelixis, Inc. common stock. |
(5) | The option, representing the right to purchase a total of 100,000 shares of Exelixis, Inc. common stock, became exercisable as to 25,000 shares on February 26, 2010, and thereafter as to 1/48th of the original number of shares subject to the option on each monthly anniversary of the original grant date (February 26, 2009). The option ceased vesting on July 15, 2010, in connection with the Reporting Person's resignation as President and Chief Executive Officer of Exelixis, Inc., at which time the option was exercisable as to as to 33,333 shares of Exelixis, Inc. common stock. |