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