0001209191-14-018970.txt : 20140310 0001209191-14-018970.hdr.sgml : 20140310 20140310172707 ACCESSION NUMBER: 0001209191-14-018970 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140306 FILED AS OF DATE: 20140310 DATE AS OF CHANGE: 20140310 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: LEVITT DANIEL J CENTRAL INDEX KEY: 0001278711 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36327 FILM NUMBER: 14682047 MAIL ADDRESS: STREET 1: C/O DYNAVAX TECHNOLOGIES CORP STREET 2: 2929 SEVENTH ST STE 100 CITY: BERKELEY STATE: CA ZIP: 94710 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2014-03-06 0 0001404644 AQUINOX PHARMACEUTICALS, INC AQXP 0001278711 LEVITT DANIEL J C/O AQUINOX PHARMACEUTICALS, INC. 450 - 887 GREAT NORTHERN WAY VANCOUVER A1 V5T 4T5 BRITISH COLUMBIA, CANADA 1 0 0 0 Stock Option (Right to Buy) 11.00 2014-03-06 4 A 0 8333 0.00 A 2024-03-05 Common Stock 8333 20051 D The shares subject to this option shall vest in equal annual installments, at a rate of 1/3rd of the total number of shares on the one-year anniversary of the grant date, 1/3rd of the total number of shares on the second-year anniversary of the grant date, and 1/3rd of the total number of shares on the third-year anniversary of the grant date. Includes (i) 8,333 shares issuable upon exercise of an option grant pursuant to the issuer's 2014 Equity Incentive Plan (the "2014 Plan") and (ii) 11,718 option securities issuable upon exercise of an option granted pursuant to the issuer's Joint Canadian Stock Option Plan (the "2006 Plan"). Each option under the 2014 Plan is exercisable for shares of common stock. Each option security granted under the 2006 Plan is exercisable for an "option security". Prior to the closing of the issuer's initial public offering, an option security is comprised of one common exchangeable share and one special voting share of Aquinox Pharmaceuticals Inc., a corporation under the Canadian Business Corporations Act. Following the closing of the issuer's initial public offering, an option security will be comprised of one share of the issuer's common stock. /s/ Daniel Levitt 2014-03-10