0001209191-17-037966.txt : 20170605
0001209191-17-037966.hdr.sgml : 20170605
20170605190011
ACCESSION NUMBER: 0001209191-17-037966
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20170601
FILED AS OF DATE: 20170605
DATE AS OF CHANGE: 20170605
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: AQUINOX PHARMACEUTICALS, INC
CENTRAL INDEX KEY: 0001404644
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 887 GREAT NORTHERN WAY
STREET 2: SUITE 450
CITY: VANCOUVER
STATE: A1
ZIP: V5T 4T5
BUSINESS PHONE: 604-629-9223
MAIL ADDRESS:
STREET 1: 887 GREAT NORTHERN WAY
STREET 2: SUITE 450
CITY: VANCOUVER
STATE: A1
ZIP: V5T 4T5
FORMER COMPANY:
FORMER CONFORMED NAME: AQUINOX PHARMACEUTICALS (USA) INC
DATE OF NAME CHANGE: 20070626
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Main David
CENTRAL INDEX KEY: 0001599941
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36327
FILM NUMBER: 17892641
MAIL ADDRESS:
STREET 1: 450 - 887 GREAT NORTHERN WAY
CITY: VANCOUVER
STATE: A1
ZIP: V5T 4T5
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2017-06-01
0
0001404644
AQUINOX PHARMACEUTICALS, INC
AQXP
0001599941
Main David
C/O AQUINOX PHARMACEUTICALS INC.
450 - 887 GREAT NORTHERN WAY
VANCOUVER
A1
V5T 4T5
BRITISH COLUMBIA, CANADA
1
1
0
0
President and CEO
Common Stock
2017-06-01
4
M
0
6000
9.60
A
77530
D
Common Stock
2017-06-01
4
S
0
6000
12.998
D
71530
D
Common Stock
2017-06-02
4
M
0
6000
9.60
A
77530
D
Common Stock
2017-06-02
4
S
0
6000
13.5933
D
71530
D
Common Stock
2017-06-05
4
M
0
3625
9.60
A
75155
D
Common Stock
2017-06-05
4
S
0
3625
13.1575
D
71530
D
Stock Option (Right to Buy)
9.60
2017-06-01
4
M
0
6000
0.00
D
2017-06-07
Common Stock
6000
9625
D
Stock Option (Right to Buy(
9.60
2017-06-02
4
M
0
6000
0.00
D
2017-06-07
Common Stock
6000
3625
D
Stock Option (Right to Buy)
9.60
2017-06-05
4
M
0
3625
0.00
D
2017-06-07
Common Stock
3625
0
D
The exercise of options reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 15, 2017.
The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 15, 2017.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.82 to $13.20, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set in this footnote.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.45 to $13.67, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set in this footnote.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.04 to $13.26, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set in this footnote.
The option is fully vested.
/s/ Kamran Alam, Attorney-in-fact
2017-06-05
EX-24.4_729339
2
poa.txt
POA DOCUMENT
LIMITED POWER OF ATTORNEY FOR
SECTION 16 REPORTING OBLIGATIONS
Know all by these presents, that the undersigned's hereby makes, constitutes
and appoints David Main and Kamran Alam of Aquinox Pharmaceuticals, Inc. and
Mary E. Smith of Cooley LLP as the undersigned's true and lawful
attorney-in-fact, with full power and authority as hereinafter described on
behalf of and in the name, place and stead of the undersigned to:
(1) prepare, execute, acknowledge, deliver and file Forms 3, 4, and 5 (including
any amendments thereto) with respect to the securities of Aquinox
Pharmaceuticals, Inc., a Delaware corporation (the "Company"), with the SEC, any
national securities exchanges and the Company, as considered necessary or
advisable under Section 16(a) of the Securities Exchange Act of 1934, as amended
(the "Exchange Act") and the rules and regulations promulgated thereunder, as
amended from time to time;
(2) seek or obtain, as the undersigned's representative and on the undersigned's
behalf, information on transactions in the Company's securities from any third
party, including brokers, employee benefit plan administrators and trustees, and
the undersigned hereby authorizes any such person to release any such
information to the undersigned and approves and ratifies any such release of
information; and
(3) perform any and all other acts which in the discretion of such
attorney-in-fact are necessary or desirable for and on behalf of the undersigned
in connection with the foregoing.
The undersigned acknowledges that:
(1) this Power of Attorney authorizes, but does not require, such
attorney-in-fact to act in their discretion on information provided to such
attorney-in-fact without independent verification of such information;
(2) any documents prepared and/or executed by such attorney-in-fact on behalf of
the undersigned pursuant to this Power of Attorney will be in such form and will
contain such information and disclosure as such attorney-in-fact, in his or her
discretion, deems necessary or desirable;
(3) neither the Company nor such attorney-in-fact assumes (i) any liability for
the undersigned's responsibility to comply with the requirement of the Exchange
Act, (ii) any liability of the undersigned for any failure to comply with such
requirements, or (iii) any obligation or liability of the undersigned for profit
disgorgement under Section 16(b) of the Exchange Act; and
(4) this Power of Attorney does not relieve the undersigned from responsibility
for compliance with the undersigned's obligations under the Exchange Act,
including without limitation the reporting requirements under Section 16 of the
Exchange Act.
The undersigned hereby gives and grants the foregoing attorney-in-fact full
power and authority to do and perform all and every act and thing whatsoever
requisite, necessary or appropriate to be done in and about the foregoing
matters as fully to all intents and purposes as the undersigned might or could
do if present, hereby ratifying all that such attorney-in-fact of, for and on
behalf of the undersigned, shall lawfully do or cause to be done by virtue of
this Limited Power of Attorney.
This Power of Attorney shall remain in full force and effect until revoked by
the undersigned in a signed writing delivered to such attorney-in-fact.
IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be
executed as of this 11th day of February, 2014.
/s/ David Main
Signature
David Main
Print Name