0001209191-16-147506.txt : 20161031 0001209191-16-147506.hdr.sgml : 20161031 20161031170158 ACCESSION NUMBER: 0001209191-16-147506 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161028 FILED AS OF DATE: 20161031 DATE AS OF CHANGE: 20161031 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: PACIFIC BIOSCIENCES OF CALIFORNIA, INC. CENTRAL INDEX KEY: 0001299130 STANDARD INDUSTRIAL CLASSIFICATION: LABORATORY ANALYTICAL INSTRUMENTS [3826] IRS NUMBER: 161590339 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1380 WILLOW ROAD CITY: MENLO PARK STATE: CA ZIP: 94025 BUSINESS PHONE: 650-521-8000 MAIL ADDRESS: STREET 1: 1380 WILLOW ROAD CITY: MENLO PARK STATE: CA ZIP: 94025 FORMER COMPANY: FORMER CONFORMED NAME: PACIFIC BIOSCIENCES OF CALIFORNIA INC DATE OF NAME CHANGE: 20050829 FORMER COMPANY: FORMER CONFORMED NAME: NANOFLUIDICS INC DATE OF NAME CHANGE: 20040729 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Phillips James Michael CENTRAL INDEX KEY: 0001504238 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34899 FILM NUMBER: 161962337 MAIL ADDRESS: STREET 1: PACIFIC BIOSCIENCES OF CALIFORNIA, INC. STREET 2: 1380 WILLOW ROAD CITY: MENLO PARK STATE: CA ZIP: 94025 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-10-28 0 0001299130 PACIFIC BIOSCIENCES OF CALIFORNIA, INC. PACB 0001504238 Phillips James Michael PACIFIC BIOSCIENCES OF CALIFORNIA, INC. 1380 WILLOW ROAD MENLO PARK CA 94025 0 1 0 0 SVP, Research & Development Common Stock 2016-10-28 4 M 0 20000 2.18 A 201449 D Common Stock 2016-10-28 4 S 0 20000 8.436 D 181449 D Stock Option (right to buy) 2.18 2016-10-28 4 M 0 20000 0.00 D 2014-02-15 2023-02-15 Common Stock 20000 77500 D The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. This is the weighted average price of the shares sold, which ranged from $8.25 to $8.53 per share. 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 within the range set forth in this Form 4. 1/5th of the shares subject to the option vested on February 15, 2014 and the balance of the shares vest monthly thereafter over the next four years, provided that the Reporting Person continues to serve through each vesting date. James Michael Phillips 2016-10-31