Initial Statement of Beneficial Ownership (3)
April 14 2020 - 5:23PM
Edgar (US Regulatory)
FORM 3
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
|
1. Name and Address of Reporting Person
*
Lieu Hsiao D |
2. Date of Event Requiring Statement (MM/DD/YYYY)
3/11/2020
|
3. Issuer Name and Ticker or Trading Symbol
NGM BIOPHARMACEUTICALS INC [NGM]
|
|
(Last)
(First)
(Middle)
333 OYSTER POINT BOULEVARD |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner
___X___ Officer (give title below) _____ Other (specify below)
SVP, Chief Medical Officer / |
|
(Street)
SOUTH SAN FRANCISCO, CA 94080
(City)
(State)
(Zip)
| 5. 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
|
Table I - Non-Derivative Securities Beneficially Owned
|
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)
|
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) | 3/18/2029 | Common Stock | 200000 | $12.06 | D | |
| Stock Option (Right to Buy) | (2) | 2/3/2030 | Common Stock | 25000 | $16.47 | D | |
| Explanation of Responses: |
| (1) | The shares subject to the stock option vest over a four-year period measured from the grant date, with 1/4th vesting on the first anniversary of the grant date and the remainder vesting in 36 equal monthly installments thereafter. |
| (2) | The shares subject to the stock option vest over a four-year period commencing January 1, 2020, with 1/48th of the shares vesting on a monthly basis. |
Reporting Owners
|
| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Lieu Hsiao D
333 OYSTER POINT BOULEVARD
SOUTH SAN FRANCISCO, CA 94080 |
|
| SVP, Chief Medical Officer |
|
Signatures
|
| /s/ Valerie Pierce, Attorney-in-fact | | 4/14/2020 |
| **Signature of Reporting Person | Date |
NGM Biopharmaceuticals (NASDAQ:NGM)
Historical Stock Chart
From Mar 2024 to Apr 2024
NGM Biopharmaceuticals (NASDAQ:NGM)
Historical Stock Chart
From Apr 2023 to Apr 2024
