Statement of Changes in Beneficial Ownership (4)
August 09 2022 - 6:55PM
Edgar (US Regulatory)
FORM 4
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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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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
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3235-0287
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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
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Janssen Robert |
2. Issuer Name and Ticker or Trading Symbol
DYNAVAX TECHNOLOGIES CORP
[
DVAX
]
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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) Senior Vice President |
(Last)
(First)
(Middle)
C/O DYNAVAX TECHNOLOGIES, 2100 POWELL STREET, SUITE 720 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
8/5/2022 |
(Street)
EMERYVILLE, CA 94608
(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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Common Stock | 8/5/2022 | | M(1) | | 900 | A | $10.47 | 25607 | D | |
Common Stock | 8/5/2022 | | S(1) | | 900 | D | $17.0123 (2) | 24707 | D | |
Common Stock | 8/8/2022 | | M(1) | | 4450 | A | $10.47 | 29157 | D | |
Common Stock | 8/8/2022 | | S(1) | | 4450 | D | $17.1607 (3) | 24707 | D | |
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) | 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 | 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 Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (Right to Buy) | $10.47 | 8/5/2022 | | M (1) | | | 900 | (4) | 2/21/2026 | Common Stock | 900 | (5) | 12795 | D | |
Stock Option (Right to Buy) | $10.47 | 8/8/2022 | | M (1) | | | 4450 | (4) | 2/21/2026 | Common Stock | 4450 | (5) | 8345 | D | |
Explanation of Responses: |
(1) | The sales reported on this Form 4 were effected pursuant to a 10b5-1 trading plan adopted on December 15, 2021. |
(2) | This transaction was executed in multiple trades at prices ranging from $17.00 to $17.07; the price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, Dynavax, or a security holder of Dynavax. |
(3) | This transaction was executed in multiple trades at prices ranging from $17.00 to $17.43; the price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, Dynavax, or a security holder of Dynavax. |
(4) | This option grant will vest over three (3) years with one-third (1/3) of the shares subject to the option vesting twelve months after the grant date, and one thirty-sixth (1/36) of the shares subject to the option vesting on the last day of each month thereafter. |
(5) | Not applicable. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Janssen Robert C/O DYNAVAX TECHNOLOGIES 2100 POWELL STREET, SUITE 720 EMERYVILLE, CA 94608 |
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| Senior Vice President |
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Signatures
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/s/ Robert Janssen | | 8/9/2022 |
**Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* | If the form is filed by more than one reporting person, see Instruction 4(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). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
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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