0000899243-21-011433.txt : 20210312
0000899243-21-011433.hdr.sgml : 20210312
20210312200014
ACCESSION NUMBER: 0000899243-21-011433
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210310
FILED AS OF DATE: 20210312
DATE AS OF CHANGE: 20210312
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Klompas Neil A
CENTRAL INDEX KEY: 0001761857
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38068
FILM NUMBER: 21739453
MAIL ADDRESS:
STREET 1: 1385 WEST 8TH AVENUE
STREET 2: SUITE 540
CITY: VANCOUVER
STATE: A1
ZIP: V6H3V9
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Zymeworks Inc.
CENTRAL INDEX KEY: 0001403752
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 000000000
STATE OF INCORPORATION: A1
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 540-1385 WEST 8TH AVENUE
CITY: Vancouver
STATE: A1
ZIP: V6H 3V9
BUSINESS PHONE: (604) 678-1388
MAIL ADDRESS:
STREET 1: 540-1385 WEST 8TH AVENUE
CITY: Vancouver
STATE: A1
ZIP: V6H 3V9
FORMER COMPANY:
FORMER CONFORMED NAME: Zymeworks Inc
DATE OF NAME CHANGE: 20070620
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2021-03-10
0
0001403752
Zymeworks Inc.
ZYME
0001761857
Klompas Neil A
C/O ZYMEWORKS INC.
1385 WEST 8TH AVENUE, SUITE 540
VANCOUVER
A1
V6H 3V9
BRITISH COLUMBIA, CANADA
0
1
0
0
Chief Financial Officer
Common Shares
2021-03-10
4
M
0
2500
0.00
A
11896
D
Common Shares
2021-03-10
4
S
0
1425
34.9535
D
10471
D
Common Shares
700
I
Held by spouse
Restricted Stock Unit
2021-03-10
4
M
0
2500
0.00
D
Common Shares
2500
5000
D
Stock Option (Right to Buy)
34.82
2021-03-10
4
A
0
48750
0.00
A
2031-03-09
Common Shares
48750
48750
D
Restricted Stock Unit
2021-03-10
4
A
0
8125
0.00
A
Common Shares
8125
8125
D
Represents common shares issued upon vesting of one third of the restricted stock units ("RSUs") granted on March 10, 2020.
Represents common shares sold to cover tax withholding obligations and other applicable fees in connection with the vesting of RSUs. Pursuant to the terms of the applicable RSU grant agreement (the "Grant Agreement"), effective on the grant date of the RSUs, the Reporting Person irrevocably adopted a 10b5-1 plan pursuant to which the Reporting Person elected to sell shares to cover tax withholding obligations and other applicable fees in accordance with the terms of the Grant Agreement.
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $34.80 to $35.15, inclusive. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price.
Each RSU represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.
The RSUs were granted on March 10, 2020 and vest in three equal annual instalments beginning on March 10, 2021.
Stock options vest as follows: (i) 25% of underlying shares on first anniversary of grant date and (ii) remainder of underlying shares in 36 equal monthly installments on last day of month following first anniversary of grant date.
The RSUs vest in three equal annual installments beginning on March 10, 2022.
/s/ Daniel Dex, Attorney-in-Fact
2021-03-12