0001400482-16-000172.txt : 20160603 0001400482-16-000172.hdr.sgml : 20160603 20160603125200 ACCESSION NUMBER: 0001400482-16-000172 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160601 FILED AS OF DATE: 20160603 DATE AS OF CHANGE: 20160603 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ACUCELA INC. CENTRAL INDEX KEY: 0001400482 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 020592619 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1301 SECOND AVE. STREET 2: SUITE 4200 CITY: SEATTLE STATE: WA ZIP: 98101 BUSINESS PHONE: 206-805-8300 MAIL ADDRESS: STREET 1: 1301 SECOND AVE. STREET 2: SUITE 4200 CITY: SEATTLE STATE: WA ZIP: 98101 FORMER COMPANY: FORMER CONFORMED NAME: Acucela Inc DATE OF NAME CHANGE: 20070523 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GEBHART JOHN E CENTRAL INDEX KEY: 0001641342 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-55133 FILM NUMBER: 161694854 MAIL ADDRESS: STREET 1: 1301 SECOND AVENUE, SUITE 4200 CITY: SEATTLE STATE: WA ZIP: 98101 4 1 wf-form4_146497270662248.xml FORM 4 X0306 4 2016-06-01 0 0001400482 ACUCELA INC. M?????? 0001641342 GEBHART JOHN E C/O ACUCELA INC. 1301 SECOND AVE., SUITE 4200 SEATTLE WA 98101 0 1 0 0 Chief Financial Officer Common Stock 2016-06-01 4 M 0 7473 A 63311 D Common Stock 2016-06-01 4 F 0 3135 10.76 D 60176 D Restricted Stock Unit 2016-06-01 4 M 0 7473 0 D Common Stock 7473.0 261546 D The issuer's common stock trades on the Tokyo Stock Exchange under the symbol referenced in the issuer's registration statement on Form S-1 (File No. 333-192900). Each restricted stock unit (RSU) represents a contingent right to receive one (1) share of the issuer's common stock upon settlement. This transaction represents the settlement of RSUs in shares of common stock on their scheduled vesting date. The reported shares were withheld to cover the reporting person's tax liability in connection with the vesting of restricted stock units. These shares were not sold by the reporting person. On May 1, 2015, the reporting person was granted 358,692 RSUs, four year vesting period, with twenty-five percent (25%) of the RSUs vesting on 5/1/2016, and the remainder vesting thereafter on a monthly pro-rata basis, such that 100% of the RSUs are vested on 5/1/2019, subject to the reporting person's continued employment through the applicable vesting date. /s/ John Gebhart 2016-06-03