0001400482-16-000225.txt : 20160902
0001400482-16-000225.hdr.sgml : 20160902
20160902153503
ACCESSION NUMBER: 0001400482-16-000225
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160901
FILED AS OF DATE: 20160902
DATE AS OF CHANGE: 20160902
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: 161868525
MAIL ADDRESS:
STREET 1: 1301 SECOND AVENUE, SUITE 4200
CITY: SEATTLE
STATE: WA
ZIP: 98101
4
1
wf-form4_147284488933645.xml
FORM 4
X0306
4
2016-09-01
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
2016-09-01
4
M
0
7473
A
76324
D
Common Stock
2016-09-01
4
F
0
3135
9.84
D
73189
D
Restricted Stock Unit
2016-09-01
4
M
0
7473
0
D
Common Stock
7473.0
239128
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 (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 RSUs. 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
2016-09-02