0001209191-16-092226.txt : 20160119 0001209191-16-092226.hdr.sgml : 20160118 20160119190034 ACCESSION NUMBER: 0001209191-16-092226 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160115 FILED AS OF DATE: 20160119 DATE AS OF CHANGE: 20160119 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ProNAi Therapeutics Inc CENTRAL INDEX KEY: 0001290149 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2150 ? 885 WEST GEORGIA STREET CITY: VANCOUVER STATE: A1 ZIP: V6C 3E8 BUSINESS PHONE: 604-558-6536 MAIL ADDRESS: STREET 1: 2150 ? 885 WEST GEORGIA STREET CITY: VANCOUVER STATE: A1 ZIP: V6C 3E8 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Glover Nicholas CENTRAL INDEX KEY: 0001578888 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37490 FILM NUMBER: 161349400 MAIL ADDRESS: STREET 1: C/O PRONAI THERAPEUTICS, INC. STREET 2: 2150 - 885 WEST GEORGIA STREET CITY: VANCOUVER STATE: A1 ZIP: V6C 3E8 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-01-15 0 0001290149 ProNAi Therapeutics Inc DNAI 0001578888 Glover Nicholas C/O PRONAI THERAPEUTICS, INC. 2150 885 WEST GEORGIA ST. VANCOUVER A1 V6C 3E8 BRITISH COLUMBIA, CANADA 1 1 0 0 CEO and President Common Stock 2016-01-15 4 M 0 5000 0.969 A 5000 D Common Stock 2016-01-15 4 S 0 5000 10.0446 D 0 D Stock Option (right to buy) 0.969 2016-01-15 4 M 0 5000 0.00 D 2024-07-13 Common Stock 5000 864219 D The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.00 to $10.29 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The option vests as to 25% of the total shares on July 14, 2015, and then 2.0833% of the total shares vest monthly thereafter, with 100% of the total shares vested on July 14, 2018, subject to the reporting person's provision of service to the issuer on each vesting date. The option is immediately exercisable. /s/ Sukhi Jagpal as attorney-in-fact for Nick Glover, Ph.D. 2016-01-19