Statement of Changes in Beneficial Ownership (4)
12 Novembre 2019 - 11:33PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB Number:
3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Patterson Matthew R |
2. Issuer Name and Ticker or Trading Symbol
Audentes Therapeutics, Inc.
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BOLD
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
Chief Executive Officer |
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(Last)
(First)
(Middle)
C/O AUDENTES THERAPEUTICS, INC., 600 CALIFORNIA STREET, 17TH FLOOR |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/8/2019 |
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(Street)
SAN FRANCISCO, CA 94108
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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| Common Stock | 11/8/2019 | | M(1) | | 14426 | A | $9.50 | 127820 | D | |
| Common Stock | 11/8/2019 | | S(1) | | 14426 | D | $30.00 | 113394 | D | |
| Common Stock | | | | | | | | 171814 | I | By Matthew R. Patterson Revocable Trust (2) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security
(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) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Stock Option (right to buy) | $9.50 | 11/8/2019 | | M (1) | | | 14426 | (3) | 12/18/2025 | Common Stock | 14426 | $0.00 | 155393 | D | |
| Explanation of Responses: |
| (1) | This transaction was effected pursuant to a 10b5-1 trading plan adopted by the reporting person. |
| (2) | The reporting person is the trustee of the Matthew R. Patterson Revocable Trust. |
| (3) | The option vests as to 6.25% of the total shares quarterly, beginning March 18, 2016, with 100% of the total shares vested and exercisable on December 18, 2019, subject to the reporting person's provision of service to the issuer on each vesting date and to accelerated vesting upon the occurrence of certain events. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Patterson Matthew R
C/O AUDENTES THERAPEUTICS, INC.
600 CALIFORNIA STREET, 17TH FLOOR
SAN FRANCISCO, CA 94108 | X |
| Chief Executive Officer |
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Signatures
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| /s/ Mark Meltz, as attorney-in-fact for Matthew Patterson | | 11/12/2019 |
| **Signature of Reporting Person | Date |
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