0001400482-16-000263.txt : 20161121 0001400482-16-000263.hdr.sgml : 20161121 20161121141601 ACCESSION NUMBER: 0001400482-16-000263 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161117 FILED AS OF DATE: 20161121 DATE AS OF CHANGE: 20161121 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: SCHEIBLER LUKAS CENTRAL INDEX KEY: 0001651281 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-55133 FILM NUMBER: 162009969 MAIL ADDRESS: STREET 1: 1301 SECOND AVENUE, SUITE 4200 CITY: SEATTLE STATE: WA ZIP: 98101 4 1 wf-form4_147975574927909.xml FORM 4 X0306 4 2016-11-17 0 0001400482 ACUCELA INC. M?????? 0001651281 SCHEIBLER LUKAS C/O ACUCELA INC. 1301 SECOND AVE., SUITE 4200 SEATTLE WA 98101 0 1 0 0 EVP of Research & Development Common Stock 2016-11-17 4 M 0 2663 0 A 2663 D Common Stock 2016-11-21 4 S 0 2663 9.3468 D 0 D Restricted Stock Unit 2016-11-17 4 M 0 2663 0 D Common Stock 2663.0 87895 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 shares were sold at a price of 1033.8077 Japanese Yen. The U.S. per share price reflects the average of the buy and sell Japanese Yen-to-U.S. Dollar exchange rates on the transaction date divided by the number of shares sold. These shares were sold in multiple transactions at prices ranging from 1030 to 1040 Japanese Yen, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein. On August 17, 2015, the reporting person was granted 127,847 RSUs, four year vesting period, with 25% of the RSUs vesting on August 17, 2016, and the remainder vesting thereafter on a monthly pro-rata basis, such that 100% of the RSUs are vested on August 17, 2019, subject to the reporting person's continuing employment through the applicable vesting date. /s/ John E. Gebhart as attorney-in-fact for Lukas Scheibler 2016-11-21