0000902664-23-003404.txt : 20230602
0000902664-23-003404.hdr.sgml : 20230602
20230602170643
ACCESSION NUMBER: 0000902664-23-003404
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230531
FILED AS OF DATE: 20230602
DATE AS OF CHANGE: 20230602
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Caligan Partners LP
CENTRAL INDEX KEY: 0001727492
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-30235
FILM NUMBER: 23990024
BUSINESS ADDRESS:
STREET 1: 515 MADISON AVENUE
STREET 2: 8TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 718-570-6018
MAIL ADDRESS:
STREET 1: 515 MADISON AVENUE
STREET 2: 8TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: JOHNSON DAVID EDWARD
CENTRAL INDEX KEY: 0001785557
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-30235
FILM NUMBER: 23990025
MAIL ADDRESS:
STREET 1: 590 MADISON AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10022
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: EXELIXIS, INC.
CENTRAL INDEX KEY: 0000939767
STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
IRS NUMBER: 043257395
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 1851 HARBOR BAY PARKWAY
CITY: ALAMEDA
STATE: CA
ZIP: 94502
BUSINESS PHONE: 6508377000
MAIL ADDRESS:
STREET 1: 1851 HARBOR BAY PARKWAY
CITY: ALAMEDA
STATE: CA
ZIP: 94502
FORMER COMPANY:
FORMER CONFORMED NAME: EXELIXIS INC
DATE OF NAME CHANGE: 20000207
FORMER COMPANY:
FORMER CONFORMED NAME: EXELIXIS PHARMACEUTICALS INC
DATE OF NAME CHANGE: 20000106
4
1
ownership.xml
X0407
4
2023-05-31
0
0000939767
EXELIXIS, INC.
EXEL
0001785557
JOHNSON DAVID EDWARD
515 MADISON AVENUE
8TH FLOOR
NEW YORK
NY
10022
1
0
0
0
0001727492
Caligan Partners LP
515 MADISON AVENUE
8TH FLOOR
NEW YORK
NY
10022
1
0
0
1
See Remarks
0
Common Stock
2023-05-31
4
A
0
18176
0
A
18176
D
Common Stock
910730
I
See footnote
Option (right to buy)
19.28
2023-05-31
4
A
0
36353
0
A
2023-05-31
2030-05-30
Common Stock
36353
36353
D
Represents shares of Exelixis, Inc. (the "Issuer") common stock ("Common Stock") issued to David Johnson ("Mr. Johnson") upon vesting of restricted stock units. Each restricted stock unit is the economic equivalent of one share of Common Stock.
The restricted stock units were granted to Mr. Johnson on the Transaction Date pursuant to the Exelixis, Inc. 2017 Equity Incentive Plan. The restricted stock units will vest as to 1/4th of the original number of shares subject to the restricted stock unit award on each of the first four anniversaries of the Transaction Date, subject to the Mr. Johnson's continuous service through such dates.
Mr. Johnson is deemed to hold the securities reported herein for the benefit of Caligan Partners Master Fund LP (the "Caligan Fund") and managed accounts to which Caligan Partners LP ("Caligan") serves as investment manager (the "Caligan Accounts"), and may, after vesting, if applicable, transfer the securities directly to the Caligan Fund and the Caligan Accounts.
Reflects securities held by the Caligan Fund and the Caligan Accounts. Mr. Johnson is the Managing Partner of Caligan and a Managing Member of Caligan Partners GP LLC, the general partner of Caligan.
Option granted pursuant to the Exelixis, Inc. 2017 Equity Incentive Plan. The option is exercisable immediately, subject to repurchase provisions, and will vest as to 1/4th of the original number of shares subject to the option on the one-year anniversary of the Transaction Date, and thereafter as to 1/48th of the original number of shares subject to the option on each monthly anniversary of the Transaction Date, subject to Mr. Johnson's continuous service through such dates.
Each Reporting Person disclaims beneficial ownership in the securities reported on this Form 4 except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Caligan may be deemed to be a director by deputization of the Issuer by virtue of the fact that Mr. Johnson currently serves on the Issuer's board of directors.
/s/ David Edward Johnson
2023-06-02
Caligan Partners LP, By: /s/ David Johnson, Managing Partner
2023-06-02