0001447028-24-000026.txt : 20240205 0001447028-24-000026.hdr.sgml : 20240205 20240205195425 ACCESSION NUMBER: 0001447028-24-000026 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240201 FILED AS OF DATE: 20240205 DATE AS OF CHANGE: 20240205 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sofia Michael J. CENTRAL INDEX KEY: 0001635324 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34949 FILM NUMBER: 24597685 MAIL ADDRESS: STREET 1: C/O ARBUTUS BIOPHARMA CORP. STREET 2: SUITE 100, 8900 GLENLYON PARKWAY CITY: BURNABY STATE: A1 ZIP: V5J 5J8 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Arbutus Biopharma Corp CENTRAL INDEX KEY: 0001447028 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] ORGANIZATION NAME: 03 Life Sciences IRS NUMBER: 980597776 STATE OF INCORPORATION: A1 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 701 VETERANS CIRCLE CITY: WARMINSTER STATE: PA ZIP: 18974 BUSINESS PHONE: 604-419-3200 MAIL ADDRESS: STREET 1: 701 VETERANS CIRCLE CITY: WARMINSTER STATE: PA ZIP: 18974 FORMER COMPANY: FORMER CONFORMED NAME: TEKMIRA PHARMACEUTICALS Corp DATE OF NAME CHANGE: 20110607 FORMER COMPANY: FORMER CONFORMED NAME: TEKMIRA PHARMACEUTICALS CORP DATE OF NAME CHANGE: 20081003 4 1 wk-form4_1707180851.xml FORM 4 X0508 4 2024-02-01 0 0001447028 Arbutus Biopharma Corp ABUS 0001635324 Sofia Michael J. C/O ARBUTUS BIOPHARMA CORPORATION 701 VETERANS CIRCLE WARMINSTER PA 18974 0 1 0 0 Chief Scientific Officer 1 Common Shares 2024-02-01 4 A 0 109500 0 A 1495103 D Common Shares 2024-02-02 4 S 0 9982 2.3125 D 1485121 D Common Shares 167162 I By Trust Stock Option (Right to Buy) 2.40 2024-02-01 4 A 0 437800 0 A 2034-02-01 Common Shares 437800 437800 D Represents the grant of restricted stock units ("RSUs"), which represent a contingent right to receive one common share for each RSU. The RSUs vest in three equal annual installments beginning one year from the grant date, subject to the Reporting Person's continuous service as of each vesting date. Unless otherwise provided, on each vesting date, common shares will automatically be sold to satisfy the Reporting Person's tax withholding obligations in a non-discretionary transaction. Represents the non-discretionary sale of common shares pursuant to the Reporting Person's 10b5-1 Plan, adopted on March 5, 2023, to satisfy the Reporting Person's tax obligations with respect to the vesting of a previous grant of restricted stock units. These shares are owned by the Irrevocable Deed of Trust of Michael J. Sofia dated July 6, 2020 (the "Trust"). The Reporting Person's wife and adult children are both the Trustees and the beneficiaries of the Trust. The Reporting Person disclaims beneficial ownership of the shares owned by the Trust and the filing of this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Reflects the closing price of the Company's common shares on the Nasdaq Stock Market on the date of the grant. This option vests over a four-year period, with 1/48th of the shares subject to the option vesting in substantially equal monthly installments measured from one month following the grant date, subject to the Reporting Person's continuous service as of each vesting date. /s/ David C. Hastings as attorney-in-fact for Michael J. Sofia 2024-02-05