Filing Details
- Accession Number:
- 0001209191-19-055021
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-11-04 18:06:30
- Reporting Period:
- 2019-10-31
- Accepted Time:
- 2019-11-04 18:06:30
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1426332 | Ngm Biopharmaceuticals Inc | NGM | Pharmaceutical Preparations (2834) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1642996 | Jin-Long Chen | 333 Oyster Point Boulevard South San Francisco CA 94080 | Chief Scientific Officer | Yes | 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 | 2019-10-31 | 28,376 | $1.44 | 953,319 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2019-10-31 | 28,376 | $12.99 | 924,943 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2019-11-01 | 11,403 | $1.44 | 936,346 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2019-11-01 | 11,403 | $13.29 | 924,943 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2019-11-01 | 71,750 | $0.52 | 996,693 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2019-11-04 | 10,986 | $1.44 | 1,007,679 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2019-11-04 | 10,986 | $12.26 | 996,693 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| 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 | Stock Option (right to buy) | Disposition | 2019-10-31 | 28,376 | $1.44 | 150,500 | $1.44 |
| Common Stock | Stock Option (right to buy) | Disposition | 2019-11-01 | 11,403 | $1.44 | 122,124 | $1.44 |
| Common Stock | Stock Option (right to buy) | Disposition | 2019-11-01 | 71,750 | $0.52 | 143,500 | $0.52 |
| Common Stock | Stock Option (right to buy) | Disposition | 2019-11-04 | 10,986 | $1.44 | 110,721 | $1.44 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 122,124 | 2022-03-01 | No | 4 | M | Direct | |
| 110,721 | 2022-03-01 | No | 4 | M | Direct | |
| 71,750 | 2020-02-24 | No | 4 | M | Direct | |
| 99,735 | 2022-03-01 | No | 4 | M | Direct |
Footnotes
- The reporting person sold 28,376 shares of common stock in anticipation of a potential alternative minimum tax liability resulting from his exercise of a portion of an incentive stock option covering 71,750 shares of common stock on November 1, 2019.
- Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $12.70 to $13.32. The reporting person has provided to the issuer, and undertakes to provide to the staff of the Commission or any security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price within the range.
- The reporting person sold 11,403 shares of common stock in anticipation of a potential alternative minimum tax liability resulting from his exercise of a portion of an incentive stock option covering 71,750 shares of common stock on November 1, 2019.
- Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $13.00 to $13.52. The reporting person has provided to the issuer, and undertakes to provide to the staff of the Commission or any security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price within the range.
- Pursuant to its terms, the option to purchase these shares expires on February 24, 2020, unless earlier exercised. This transaction represents the exercise of a portion of this incentive stock option by the reporting person prior to the expiration date.
- The reporting person sold 10,986 shares of common stock in anticipation of a potential alternative minimum tax liability resulting from his exercise of a portion of an incentive stock option covering 71,750 shares of common stock on November 1, 2019.
- Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $12.04 to $12.76. The reporting person has provided to the issuer, and undertakes to provide to the staff of the Commission or any security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price within the range.
- All shares underlying this option have vested.
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