0000899243-17-029728.txt : 20171229 0000899243-17-029728.hdr.sgml : 20171229 20171229163039 ACCESSION NUMBER: 0000899243-17-029728 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171229 FILED AS OF DATE: 20171229 DATE AS OF CHANGE: 20171229 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Hatfield Jeffrey S. CENTRAL INDEX KEY: 0001609879 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36510 FILM NUMBER: 171282253 MAIL ADDRESS: STREET 1: 11080 ROSELLE STREET CITY: SAN DIEGO STATE: CA ZIP: 92121 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ZAFGEN, INC. CENTRAL INDEX KEY: 0001374690 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 203857670 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 175 PORTLAND STREET STREET 2: 4TH FLOOR CITY: BOSTON STATE: MA ZIP: 02114 BUSINESS PHONE: 617-622-4003 MAIL ADDRESS: STREET 1: 175 PORTLAND STREET STREET 2: 4TH FLOOR CITY: BOSTON STATE: MA ZIP: 02114 FORMER COMPANY: FORMER CONFORMED NAME: ZAFGEN INC DATE OF NAME CHANGE: 20060906 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-12-29 0 0001374690 ZAFGEN, INC. ZFGN 0001609879 Hatfield Jeffrey S. C/O ZAFGEN, INC. 175 PORTLAND STREET, 4TH FLOOR BOSTON MA 02114 1 1 0 0 Chief Executive Officer Stock Option (Right to Buy) 3.40 2017-12-29 4 A 0 1100000 0.00 A 2027-10-09 Common Stock 1100000 1100000 D This option was granted on October 9, 2017, subject to vesting based on the Issuer's stock price appreciation and certain financial performance goals. The financial performance goals were waived on December 29, 2017 and therefore the option is deemed a reportable derivative security as of such date. The option vests and becomes exercisable based on the Issuer's common stock price during the two years after the first anniversary of the date of grant as follows: 25% of shares subject to the option vest after the stock price is equal to or greater than $10.00 per share for 20 consecutive trading days; and an additional 6.25% of the shares subject to the option vest for every additional $2.50 in stock price above $10.00 per share for 20 consecutive trading days. The option has been granted pursuant to an inducement award agreement outside of the company's 2014 Stock Option and Incentive Plan as a material inducement to the reporting person's acceptance of employment with the company in accordance with NASDAQ Listing Rule 5635(c)(4). /s/ Laurie Burlingame, Attorney-in-Fact 2017-12-29