0001209191-23-054732.txt : 20231108 0001209191-23-054732.hdr.sgml : 20231108 20231108180822 ACCESSION NUMBER: 0001209191-23-054732 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231106 FILED AS OF DATE: 20231108 DATE AS OF CHANGE: 20231108 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Lieu Hsiao D CENTRAL INDEX KEY: 0001468482 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38853 FILM NUMBER: 231389482 MAIL ADDRESS: STREET 1: C/O NGM BIOPHARMACEUTICALS, INC. STREET 2: 333 OYSTER POINT PKWY CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 FORMER NAME: FORMER CONFORMED NAME: Lieu Hsiao DATE OF NAME CHANGE: 20090716 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NGM BIOPHARMACEUTICALS INC CENTRAL INDEX KEY: 0001426332 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 333 OYSTER POINT BOULEVARD CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 BUSINESS PHONE: 650-243-5555 MAIL ADDRESS: STREET 1: 333 OYSTER POINT BOULEVARD CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 4 1 doc4.xml FORM 4 SUBMISSION X0508 4 2023-11-06 0 0001426332 NGM BIOPHARMACEUTICALS INC NGM 0001468482 Lieu Hsiao D C/O NGM BIOPHARMACEUTICALS, INC. 333 OYSTER POINT BOULEVARD SOUTH SAN FRANCISCO CA 94080 0 1 0 0 EVP, Chief Medical Officer 0 Stock Option (Right to Buy) 0.84 2023-11-06 4 A 0 190000 A 2029-03-18 Common Stock 190000 190000 D Stock Option (Right to Buy) 12.06 2023-11-06 4 D 0 190000 D 2029-03-18 Common Stock 190000 0 D Stock Option (Right to Buy) 0.84 2023-11-06 4 A 0 25000 A 2030-02-03 Common Stock 25000 25000 D Stock Option (Right to Buy) 16.47 2023-11-06 4 D 0 25000 D 2030-02-03 Common Stock 25000 0 D Stock Option (Right to Buy) 0.84 2023-11-06 4 A 0 100000 A 2031-03-16 Common Stock 100000 100000 D Stock Option (Right to Buy) 31.93 2023-11-06 4 D 0 100000 D 2031-03-16 Common Stock 100000 0 D Stock Option (Right to Buy) 0.84 2023-11-06 4 A 0 150000 A 2032-03-02 Common Stock 150000 150000 D Stock Option (Right to Buy) 15.20 2023-11-06 4 D 0 150000 D 2032-03-02 Common Stock 150000 0 D Stock Option (Right to Buy) 0.84 2023-11-06 4 A 0 150000 A 2032-11-03 Common Stock 150000 150000 D Stock Option (Right to Buy) 5.36 2023-11-06 4 D 0 150000 D 2032-11-03 Common Stock 150000 0 D Fully vested. Effective November 6, 2023, the Compensation Committee of the Board of Directors of NGM Biopharmaceuticals, Inc. (the "Company") approved a stock option repricing which resulted in, for purposes of Section 16 of the Exchange Act, the cancellation of a previously-granted stock option in exchange for a new stock option having a lower exercise price of $0.84 per share, which is the closing price of the Company's common stock on November 6, 2023. The reduced exercise price is subject to the relevant retention period and other terms outlined in the applicable stock option repricing notice. All of the other terms of the stock option remained unchanged. The shares subject to the stock option vest over a four-year period commencing January 1, 2020, with 1/48th of the shares vesting on a monthly basis. The shares subject to the stock option vest over a four-year period commencing January 1, 2021, with 1/48th of the shares vesting on a monthly basis. The shares subject to the stock option vest over a four-year period commencing January 1, 2022, with 1/48th of the shares vesting on a monthly basis. The shares subject to the stock option vest over a two-year period commencing November 4, 2022, with 1/2 of the shares vesting on an annual basis. /s/ Valerie Pierce, Attorney-in-fact 2023-11-08