Amended Statement of Beneficial Ownership (3/a)
March 29 2021 - 4:33PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
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3235-0104
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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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1. Name and Address of Reporting Person
*
Harding Thomas C. |
2. Date of Event Requiring Statement (MM/DD/YYYY)
12/3/2020
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3. Issuer Name and Ticker or Trading Symbol
Clovis Oncology, Inc. [CLVS]
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(Last)
(First)
(Middle)
C/O CLOVIS ONCOLOGY, INC., 5500 FLATIRON PARKWAY, SUITE 100 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner
___X___ Officer (give title below) _____ Other (specify below)
See Remarks / |
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(Street)
BOULDER, CO 80301
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
12/7/2020
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4) | 2. Amount of Securities Beneficially Owned
(Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5) | 4. Nature of Indirect Beneficial Ownership
(Instr. 5) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4) | 2. Date Exercisable and Expiration Date
(MM/DD/YYYY) | 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) |
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Stock Option (right to buy) | (1) | 7/1/2030 | Common Stock | 500 | $6.69 | I | By wife |
| Restricted Stock Units | (2) | 7/1/2030 | Common Stock | 250 | (3) | I | By wife |
| Explanation of Responses: |
| (1) | On July 1, 2020, the reporting person was granted 500 options. The option vests as to 25% of the shares on July 1, 2021, and the remainder vests in substantially equal installments over the 36 months immediately following such date. These shares were omitted from the reporting person's original Form 3. |
| (2) | On July 1, 2020, the reporting person was granted 250 Restricted Stock Units. 25% of such Restricted Stock Units vest on July 1, 2021, and the remainder vests in substantially equal installments over the 12 quarters immediately following such date. These shares were omitted from the reporting person's original Form 3. |
| (3) | Each Restricted Stock Unit represents the right to receive one share of Common Stock. |
Remarks:
Senior Vice President and Chief Scientific Officer |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Harding Thomas C.
C/O CLOVIS ONCOLOGY, INC.
5500 FLATIRON PARKWAY, SUITE 100
BOULDER, CO 80301 |
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| See Remarks |
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Signatures
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| /s/ Thomas C. Harding | | 3/29/2021 |
| **Signature of Reporting Person | Date |
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