0001209191-16-108931.txt : 20160316 0001209191-16-108931.hdr.sgml : 20160316 20160316183143 ACCESSION NUMBER: 0001209191-16-108931 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160314 FILED AS OF DATE: 20160316 DATE AS OF CHANGE: 20160316 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ONCOGENEX PHARMACEUTICALS, INC. CENTRAL INDEX KEY: 0000949858 STANDARD INDUSTRIAL CLASSIFICATION: IN VITRO & IN VIVO DIAGNOSTIC SUBSTANCES [2835] IRS NUMBER: 954343413 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 19820 NORTH CREEK PARKWAY STREET 2: SUITE 201 CITY: BOTHELL STATE: WA ZIP: 98011 BUSINESS PHONE: 425-686-1500 MAIL ADDRESS: STREET 1: 19820 NORTH CREEK PARKWAY STREET 2: SUITE 201 CITY: BOTHELL STATE: WA ZIP: 98011 FORMER COMPANY: FORMER CONFORMED NAME: SONUS PHARMACEUTICALS INC DATE OF NAME CHANGE: 19950825 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: JACOBS CINDY CENTRAL INDEX KEY: 0001229762 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 033-80623 FILM NUMBER: 161510786 MAIL ADDRESS: STREET 1: 1522 217TH PLACE SE STREET 2: SUITE 100 CITY: BOTHELL STATE: WA ZIP: 98021 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-03-14 0 0000949858 ONCOGENEX PHARMACEUTICALS, INC. OGXI 0001229762 JACOBS CINDY 19820 NORTH CREEK PARKWAY, SUITE 201 BOTHELL WA 98011 0 1 0 0 EVP, CMO Common Stock 2016-03-14 4 M 0 12188 0.00 A 77107 D Common Stock 2016-03-15 4 S 0 3254 0.83 D 73853 D Restricted Stock 2016-03-14 4 M 0 1875 0.00 D 2016-04-13 Common Stock 1875 0 D Restricted Stock Unit (RSU) 2016-03-14 4 M 0 2500 0.00 D 2017-01-31 Common Stock 2500 2500 D Restricted Stock Unit (RSU) 2016-03-14 4 M 0 3125 0.00 D 2018-04-13 Common Stock 9375 6250 D Restricted Stock Unit (RSU) 2016-03-14 4 M 0 4688 0.00 D 2019-06-18 Common Stock 4688 14062 D Stock Option (right to buy) 0.85 2016-03-14 4 A 0 135000 0.00 A 2026-03-14 Common Stock 135000 135000 D Represents shares of common stock acquired upon settlement of the restricted stock units ("RSUs") listed in Table II. Represents shares of common stock that have been sold by the issuer to satisfy the tax liability in connection with the settlement of RSUs. Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock at settlement. Pursuant to the terms of the RSU, 25% of the total shares underlying the RSU vest on the later of: (i) each anniversary of January 1, 2012; and (ii) the first day thereafter during which the issuer's trading window is open. Pursuant to the terms of the RSU, 25% of the total shares underlying the RSU vest annually on the later of (i) each anniversary of January 1, 2013; and (ii) the first day thereafter during which the issuer's trading window is open. Pursuant to the terms of the RSU, 25% of the total shares underlying the RSU vest annually on the later of (i) each anniversary of January 1, 2014; and (ii) the first day thereafter during which the issuer's trading window is open. Pursuant to the terms of the RSU, 25% of the total shares underlying the RSU vest annually on the later of (i) each anniversary of January 1, 2015; and (ii) the first day thereafter during which the issuer's trading window is open. Pursuant to the terms of the options, 50% of the total shares underlying the option vest on the achievement of certain milestones, and 50% vest in monthly installments over 24 months commencing one month from achievement of one of the milestones. The options will lapse in full if achievement of one of the milestones is not met on or before December 31, 2016. Sandra Thomson as attorney-in-fact for Cindy Jacobs 2016-03-16