SEC FORM 3

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person^*

SMITH LAWRENCE RUSSELL

(Last)

(First)

(Middle)

C/O VICAL INCORPORATED

10390 PACIFIC CENTER COURT

(Street)

SAN DIEGO

92121

(City)

(State)

(Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
12/13/2013

3. Issuer Name and Ticker or Trading Symbol
VICAL INC [ VICL ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
	VP, Vaccine Research

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	108,077	D

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
Employee Stock Option (Right to Buy)	08/26/2014	08/25/2023	Common Stock	150,000	$1.36	D
Employee Stock Option (Right to Buy)	01/11/2014⁽¹⁾	01/10/2023	Common Stock	97,150	$3.31	D
Employee Stock Option (Right to Buy)	01/13/2013⁽²⁾	01/12/2022	Common Stock	77,000	$3.67	D
Employee Stock Option (Right to Buy)	01/07/2012⁽²⁾	01/06/2021	Common Stock	90,000	$2.14	D
Employee Stock Option (Right to Buy)	01/11/2011⁽²⁾	01/10/2020	Common Stock	67,500	$3.47	D
Employee Stock Option (Right to Buy)	01/09/2013⁽³⁾	01/08/2019	Common Stock	45,000	$1.73	D
Employee Stock Option (Right to Buy)	01/04/2012⁽³⁾	01/03/2018	Common Stock	15,000	$4.27	D
Employee Stock Option (Right to Buy)	01/05/2011⁽³⁾	01/04/2017	Common Stock	20,000	$6.71	D
Employee Stock Option (Right to Buy)	09/14/2010⁽³⁾	09/13/2016	Common Stock	10,000	$4.85	D
Employee Stock Option (Right to Buy)	08/03/2010⁽³⁾	08/02/2016	Common Stock	1,700	$4.74	D
Employee Stock Option (Right to Buy)	01/06/2010⁽³⁾	01/05/2016	Common Stock	2,000	$4.54	D
Employee Stock Option (Right to Buy)	01/31/2009⁽³⁾	01/30/2015	Common Stock	4,500	$4.78	D
Employee Stock Option (Right to Buy)	02/09/2008⁽³⁾	02/08/2014	Common Stock	3,000	$6.35	D

Explanation of Responses:

1. 25% of the shares subject to the stock option vest and become exercisable on the date reported in column 2 above, the first anniversary of the grant date. The remaining shares vest in equal quarterly installments over the remaining three years.

2. 25% of the shares subject to the stock option vested and became exercisable on the date reported in column 2 above, the first anniversary of the grant date. The remaining shares vest in equal quarterly installments over the remaining three years.

3. The option became fully vested and exercisable on the date reported in column 2 above. 25% of the shares subject to the stock option vested and became exercisable on the first anniversary of the grant date. The remaining shares vested in equal quarterly installments over the remaining three years.

Remarks:

	/s/ Lawrence Russell Smith	12/20/2013
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.