Filing Details
- Accession Number:
- 0001567619-21-007290
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-03-31 16:04:28
- Reporting Period:
- 2021-03-29
- Accepted Time:
- 2021-03-31 16:04:28
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1528115 | Annexon Inc. | ANNX | Pharmaceutical Preparations (2834) | 275414423 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1818520 | Douglas Love | C/O Annexon, Inc. 180 Kimball Way, Suite 200 South San Francisco CA 94080 | President & Ceo | 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 | 2021-03-29 | 3,750 | $1.41 | 3,750 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-03-29 | 2,850 | $25.02 | 900 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-03-29 | 600 | $26.42 | 300 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-03-29 | 300 | $27.24 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-03-30 | 3,750 | $1.41 | 3,750 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-03-30 | 1,900 | $24.27 | 1,850 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-03-30 | 1,850 | $24.78 | 0 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | 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 | 2021-03-29 | 3,750 | $0.00 | 3,750 | $1.41 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2021-03-30 | 3,750 | $0.00 | 3,750 | $1.41 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 64,346 | 2025-01-22 | No | 4 | M | Direct | |
| 60,596 | 2025-01-22 | No | 4 | M | Direct |
Footnotes
- The transactions reported herein were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan.
- This transaction was executed in multiple trades in prices ranging from $24.74 to $25.63, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.
- This transaction was executed in multiple trades in prices ranging from $26.02 to $27.00, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.
- This transaction was executed in multiple trades in prices ranging from $27.03 to $27.515, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.
- The shares subject to the option vest are fully vested and exercisable.
- This transaction was executed in multiple trades in prices ranging from $23.63 to $24.56, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.
- This transaction was executed in multiple trades in prices ranging from $24.63 to $25.00, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.
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