Annual Statement of Changes in Beneficial Ownership (5)
February 14 2022 - 6:41PM
Edgar (US Regulatory)
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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Form 3 Holdings Reported
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Form 4 Transactions Reported
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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
*
KLEIN JOSEPH III | 2. Issuer Name and Ticker or Trading SymbolIONIS PHARMACEUTICALS INC [IONS] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
2855 GAZELLE COURT | 3. Statement for Issuer's Fiscal Year Ended (MM/DD/YYYY) 12/31/2021 |
(Street)
CARLSBAD, CA 92010
(City)
(State)
(Zip)
| 4. If Amendment, Date Original Filed(MM/DD/YYYY) | 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 Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3) | 2. Trans. Date | 2A. Deemed Execution Date, if any | 3. Trans. Code (Instr. 8) | 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) |
Amount | (A) or (D) | Price |
Common Stock | 11/30/2021 | | G (1) | 6000 (1) | D | $0.0 | 12126 | D | |
Common Stock | 11/30/2021 | | G (1) | 6000 (1) | A | $0.0 | 6000 | I | by Trust |
Common Stock | | | | | | | 100 | I | by Son (2) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 (MM/DD/YYYY) | 7. Title and Amount of Securities Underlying Derivative Security (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) |
(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Non-Qualified Stock Option (right to buy) | $24.42 | 11/30/2021 | | G (3) | | 12000 (3) | 7/1/2017 | 6/30/2026 | Common Stock | 12000 | $0.0 | 0 | D | |
Non-Qualified Stock Option (right to buy) | $42.88 | 11/30/2021 | | G (3) | | 12000 (3) | 7/2/2019 (4) | 7/1/2028 | Common Stock | 12000 | $0.0 | 4000 | D | |
Non-Qualified Stock Option (right to buy) | $52.22 | 11/30/2021 | | G (3) | | 16000 (3) | 7/3/2018 | 7/2/2027 | Common Stock | 16000 | $0.0 | 0 | D | |
Non-Qualified Stock Option (right to buy) | $57.16 | 11/30/2021 | | G (3) | | 16000 (3) | 7/1/2016 | 6/30/2025 | Common Stock | 16000 | $0.0 | 0 | D | |
Non-Qualified Stock Option (right to buy) | $60.2 | 11/30/2021 | | G (3) | | 12000 (3) | 7/1/2021 | 6/30/2030 | Common Stock | 12000 | $0.0 | 0 | D | |
Non-Qualified Stock Option (right to buy) | $64.8 | 11/30/2021 | | G (3) | | 8000 (3) | 7/1/2020 (5) | 6/30/2029 | Common Stock | 8000 | $0.0 | 8000 | D | |
Non-Qualified Stock Option (right to buy) | $24.42 | 11/30/2021 | | G (3) | 12000 (3) | | 7/1/2017 | 6/30/2026 | Common Stock | 12000 | $0.0 | 12000 | I | by Trust |
Non-Qualified Stock Option (right to buy) | $42.88 | 11/30/2021 | | G (3) | 12000 (3) | | 7/2/2019 | 7/1/2028 | Common Stock | 12000 | $0.0 | 12000 | I | by Trust |
Non-Qualified Stock Option (right to buy) | $52.22 | 11/30/2021 | | G (3) | 16000 (3) | | 7/3/2018 | 7/2/2027 | Common Stock | 16000 | $0.0 | 16000 | I | by Trust |
Non-Qualified Stock Option (right to buy) | $57.16 | 11/30/2021 | | G (3) | 16000 (3) | | 7/1/2016 | 6/30/2025 | Common Stock | 16000 | $0.0 | 16000 | I | by Trust |
Non-Qualified Stock Option (right to buy) | $60.2 | 11/30/2021 | | G (3) | 12000 (3) | | 7/1/2021 | 6/30/2030 | Common Stock | 12000 | $0.0 | 12000 | I | by Trust |
Non-Qualified Stock Option (right to buy) | $64.8 | 11/30/2021 | | G (3) | 8000 (3) | | 7/1/2020 | 6/30/2029 | Common Stock | 8000 | $0.0 | 8000 | I | by Trust |
Explanation of Responses: |
(1) | The reported transaction reflects the gift of shares to trusts for the benefit of the reporting person's three children, of which the reporting person's wife is a trustee. |
(2) | The reporting person disclaims beneficial ownership of all securities held by his son, and this report should not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. |
(3) | The reported transactions reflect the gift of vested stock options to trusts for the benefit of the reporting person's three children, of which the reporting person's wife is a trustee. |
(4) | Grant of 7/2/18 to reporting person of stock options under the Ionis Pharmaceuticals, Inc. 2002 Non-Employee Directors' Stock Option Plan. The option vests and becomes exercisable in four equal annual installments, with the first installment vesting on 7/2/19. The option shall be fully vested and exercisable on 7/2/22. The option was exercisable as to 12,000 shares on 11/30/21. |
(5) | Grant of 7/1/19 to reporting person of stock options under the Ionis Pharmaceuticals, Inc. 2002 Non-Employee Directors' Stock Option Plan. The option vests and becomes exercisable in four equal annual installments, with the first installment vesting on 7/1/20. The option shall be fully vested and exercisable on 7/1/23. The option was exercisable as to 8,000 shares on 11/30/21. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
KLEIN JOSEPH III 2855 GAZELLE COURT CARLSBAD, CA 92010 | X |
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Signatures
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By: Patrick R. O'Neil, attorney-in-fact For: Joseph Klein III | | 2/9/2022 |
**Signature of Reporting Person | Date |
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