Filing Details

Accession Number:
0001104659-16-148903
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-10-05 16:16:21
Reporting Period:
2016-10-03
Filing Date:
2016-10-05
Accepted Time:
2016-10-05 16:16:21
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1626199 Nivalis Therapeutics Inc. NVLS Pharmaceutical Preparations (2834) 208969493
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1672659 Malcom David Rodman C/O Nivalis Therapeutics, Inc.
3122 Sterling Circle, Suite 200
Boulder CO 80301
Exec Vice President And Cmo No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2016-10-03 18,056 $0.00 18,056 No 4 M Direct
Common Stock Disposition 2016-10-04 5,820 $7.96 12,236 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Restricted Stock Units Disposition 2016-10-03 18,056 $0.00 18,056 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
180,556 No 4 M Direct
Footnotes
  1. Represents shares issued on settlement of restricted stock units ("RSUs") granted to the reporting person upon vesting of such RSU's.
  2. Shares sold pursuant to a Rule 10b5-1 trading plan adopted by the reporting person to cover tax obligations in connection with the vesting of RSUs.
  3. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.95 to $8.00, inclusive. The reporting person undertakes to provide Nivalis Therapeutics, Inc., any security holder of Nivalis Therapeutics, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this Form 4.
  4. Represent fully vested RSUs. Each RSU represents the contingent right to receive one share of Common Stock. The RSUs vest in twelve equal quarterly installments on the first day of each calendar quarter commencing July 1, 2016.