0000899243-21-011435.txt : 20210312 0000899243-21-011435.hdr.sgml : 20210312 20210312200040 ACCESSION NUMBER: 0000899243-21-011435 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: Polverino Anthony J. CENTRAL INDEX KEY: 0001729957 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38068 FILM NUMBER: 21739458 MAIL ADDRESS: STREET 1: C/O BRAINSTORM CELL THERAPEUTICS, INC. STREET 2: 3 UNIVERSITY PLAZA DRIVE, SUITE 320 CITY: HACKENSACK STATE: NJ ZIP: 07601 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 0001729957 Polverino Anthony J. C/O ZYMEWORKS INC. 1385 WEST 8TH AVENUE, SUITE 540 VANCOUVER A1 V6H 3V9 BRITISH COLUMBIA, CANADA 0 1 0 0 Chief Scientific Officer Common Shares 2021-03-10 4 M 0 2500 0.00 A 32027 D Common Shares 2021-03-10 4 S 0 1048 34.9535 D 30979 D 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