Statement of Changes in Beneficial Ownership (4)
November 15 2016 - 4:26PM
Edgar (US Regulatory)
FORM 4
[ ]
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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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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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
*
Chern Carey
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2. Issuer Name
and
Ticker or Trading Symbol
SCICLONE PHARMACEUTICALS INC
[
SCLN
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
General Counsel
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(Last)
(First)
(Middle)
950 TOWER LANE, SUITE 900
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3. Date of Earliest Transaction
(MM/DD/YYYY)
11/14/2016
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(Street)
FOSTER CITY, CA 94404
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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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)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Incentive Stock Option (right to buy)
(1)
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$10.35
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11/14/2016
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A
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38644
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(2)
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11/14/2026
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Common Stock
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38644
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$0
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38644
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D
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Non-Qualified Stock Option (right to buy)
(1)
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$10.35
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11/14/2016
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A
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41356
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(2)
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11/14/2026
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Common Stock
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41356
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$0
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41356
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D
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Restricted Stock Unit
(1)
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$0
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11/14/2016
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A
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30000
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(3)
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(3)
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Common Stock
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30000
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$0
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30000
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D
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Explanation of Responses:
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(
1)
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Granted under the Issuer's 2015 Equity Incentive Plan.
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(
2)
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25% of such shares vest on October 24, 2017 and 2.0833% vests each month thereafter provided that the Reporting Person continues to be employed by the Issuer.
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(
3)
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Vesting for such RSUs will occur 25% on October 24, 2017, 25% on October 24, 2018, 25% on October 24, 2019, and 25% on October 24, 2020, or, in the discretion of the Company, such later date on which the sale of the Stock to be issued in settlement of such Unit would not violate the Trading Compliance Policy.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Chern Carey
950 TOWER LANE, SUITE 900
FOSTER CITY, CA 94404
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General Counsel
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Signatures
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/s/ Carey Chern
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11/15/2016
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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