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, 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. | 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 | ||||
Restricted Stock Units | Â (1) | Â (1) | Common Stock | 35,000 (2) | $ 0 | D | Â |
Stock Option (Right to Buy) | Â (3) | 03/11/2028 | Common Stock | 55,000 | $ 54.05 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
JOHNSON DAVID LEE C/O GLOBAL BLOOD THERAPEUTICS, INC. 171 OYSTER POINT BLVD, SUITE 300 SOUTH SAN FRANCISCO, CA 94080 |
 |  |  Chief Commercial Officer |  |
/s/ David Lee Johnson | 03/14/2018 | |
**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) | Each restricted stock unit represents a contingent right to receive one share of GBT common stock. |
(2) | The Restricted Stock Units shall vest with respect to 1/4th of the underlying shares on April 1, 2019. Thereafter, 1/6th of the remaining underlying shares shall vest on a semi-annual basis (every six months) until fully vested on April 1, 2022, 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. |
(3) | The Stock Option becomes exercisable with respect to 1/4th of the underlying shares on March 12, 2019 and with respect to an additional 1/12th of the underlying shares each quarter thereafter until fully vested on March 12, 2022, 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. |