0000899243-22-035785.txt : 20221114 0000899243-22-035785.hdr.sgml : 20221114 20221114210043 ACCESSION NUMBER: 0000899243-22-035785 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20221110 FILED AS OF DATE: 20221114 DATE AS OF CHANGE: 20221114 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Josephson Neil CENTRAL INDEX KEY: 0001864141 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38068 FILM NUMBER: 221388994 MAIL ADDRESS: STREET 1: 114 EAST 4TH AVENUE, SUITE 800 CITY: VANCOUVER STATE: A1 ZIP: V5T 1G4 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Zymeworks BC 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: SUITE 800 - 114 EAST 4TH AVENUE CITY: Vancouver STATE: A1 ZIP: V5T 1G4 BUSINESS PHONE: (604) 678-1388 MAIL ADDRESS: STREET 1: SUITE 800 - 114 EAST 4TH AVENUE CITY: Vancouver STATE: A1 ZIP: V5T 1G4 FORMER COMPANY: FORMER CONFORMED NAME: Zymeworks Inc. DATE OF NAME CHANGE: 20090702 FORMER COMPANY: FORMER CONFORMED NAME: Zymeworks Inc DATE OF NAME CHANGE: 20070620 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2022-11-10 0 0001403752 Zymeworks BC Inc. ZYME 0001864141 Josephson Neil C/O ZYMEWORKS INC. 108 PATRIOT DRIVE, SUITE A MIDDLETOWN DE 19709 0 1 0 0 Chief Medical Officer Common Stock 2022-11-10 4 M 0 5885 0.00 A 16924 D Common Stock 2022-11-10 4 S 0 2475 8.099 D 14449 D Restricted Stock Unit 2022-11-10 4 M 0 5885 0.00 D Common Shares 5885 11772 D Represents shares of common stock issued upon vesting of one third of the restricted stock units ("RSUs") granted on November 10, 2021. Represents shares of common stock 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 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 $8.09 to $8.10, 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 November 10, 2021 and vest in three equal annual instalments beginning on November 10, 2022. On October 13, 2022, the Issuer (formerly Zymeworks Delaware Inc., a Delaware corporation) became the successor issuer of Zymeworks BC Inc. (formerly Zymeworks Inc., a corporation continued under the Business Corporations Act (British Columbia)) pursuant to Rule 12g-3 of the Securities Exchange Act of 1934, as amended. On such date the Issuer completed a series of transactions, including a redomicile, pursuant to a statutory plan of arrangement under Section 288 of the Business Corporations Act (British Columbia), as a result of which common shares of Zymeworks BC Inc. were exchanged for either shares of common stock of the Issuer or exchangeable shares issued by Zymeworks ExchangeCo Ltd., an indirect subsidiary of the Issuer. /s/ Daniel Dex, Attorney-in-Fact 2022-11-14