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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549ANNUAL STATEMENT 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 2270 (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 at End of Issuer's Fiscal Year (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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(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | |||||||||
Stock Option (Right to Buy) | $ 29.75 | 03/01/2017 | Â | A4 | 3,600 | Â | Â (3) | 02/28/2026 | Common Stock | $ 0 | 3,600 | Â | ||
Restricted Stock Units | Â | 03/01/2017 | Â | A4 | 2,400 | Â | Â (4) | Â (2) | Common Stock | (2) | 2,400 | Â | ||
Restricted Stock Units | Â | 09/01/2017 | Â | M4 | Â | 300 | Â (4) | Â (2) | Common Stock | (2) | 2,100 | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Calhoun Lesley Ann C/O GLOBAL BLOOD THERAPEUTICS, INC. 171 OYSTER POINT BLVD., SUITE 300 SOUTH SAN FRANCISCO, CA 94080 |
 |  |  See Remarks |  |
/s/ Lesley Ann Calhoun | 02/13/2018 | |
**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) | Includes 1,552 shares acquired under the Issuer's Employee Stock Purchase Plan on July 31, 2017 in a transaction exempt under Rule 16b-3. |
(2) | Each restricted stock unit represents a contingent right to receive one share of GBT common stock. |
(3) | The Stock Option becomes exercisable in sixteen equal quarterly installments after March 1, 2017 until fully vested on March 1, 2021, subject to the Reporting Person's continuous service with the Issuer. The Stock Option is subject to accelerated vesting upon termination without cause or resignation for good reason after a change of control of the Issuer. |
(4) | The Restricted Stock Units vest in eight semiannual installments after March 1, 2017 until fully vested on March 1, 2021, subject to the Reporting Person's continuous service with the Issuer. The Restricted Stock Units are subject to accelerated vesting upon termination without cause or resignation for good reason after a change of control of the Issuer. |
 Remarks: Vice President, Finance and Principal Accounting Officer |