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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (Right to Buy) | $ 1.157 | 11/13/2012 | A | 83,750 (1) | (1) | 11/28/2021 | Common Stock | 83,750 (1) | $ 0 | 365,000 | D | ||||
Stock Option (Right to Buy) | $ 1.16 | 11/13/2012 | A | 5,863 (2) | (2) | 11/28/2021 | Common Stock | 5,863 (2) | $ 0 | 25,551 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
AGRAWAL SUDHIR C/O IDERA PHARMACEUTICALS, INC. 167 SIDNEY STREET CAMBRIDGE, MA 02139 |
X | Chairman, CEO & President |
/s/ Sudhir Agrawal | 11/15/2012 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | On December 5, 2011, the reporting person was granted an option to purchase up to an aggregate of 500,000 shares of common stock. Half of the shares subject to such option are subject to satisfaction of performance vesting criteria. On November 13, 2012, certain performance vesting criteria were met with respect to 83,750 of such shares, of which 20,937 shares vested on November 13, 2012 and the remaining 62,813 of which will vest in three equal annual installments beginning on November 13, 2013. |
(2) | On January 3, 2012, the reporting person was granted an option to purchase up to an aggregate of 35,000 shares of common stock. Half of the shares subject to such option are subject to satisfaction of performance vesting criteria. On November 13, 2012, certain performance vesting criteria were met with respect to 5,863 of such shares, of which 1,465 shares vested on November 13, 2012 and the remaining 4,398 of which will vest in three equal annual installments beginning on November 13, 2013. |