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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT 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) | ||
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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 | ||||||||
| Restricted Stock Units | (1) | 06/14/2022 | M | 3,600 | 06/14/2022(2) | (2) | Common Stock | 3,600 | $ 0 | 0 | D | ||||
| Stock Option (Right to Buy) | $ 22.3 | 06/14/2022 | A | 5,600 | (3) | 06/13/2032 | Common Stock | 5,600 | $ 0 | 5,600 | D | ||||
| Restricted Stock Units | (1) | 06/14/2022 | A | 3,600 | (4) | (4) | Common Stock | 3,600 | $ 0 | 3,600 | D | ||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| PATRICK DEVAL L C/O GLOBAL BLOOD THERAPEUTICS, INC. 181 OYSTER POINT BLVD. SOUTH SAN FRANCISCO, CA 94080 |
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| /s/ Miguel Carrillo, Attorney-in-Fact | 06/16/2022 | |
| **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) | Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock. |
| (2) | The RSUs vested in a single installment on June 14, 2022. |
| (3) | The shares subject to this option shall vest and become exercisable in equal monthly installments over a period of 12 months following June 14, 2022 for 11 months and the remaining 1/12th on the earlier of (i) June 14, 2023 or (ii) the Issuer's next annual meeting of stockholders, in each case subject to the Reporting Person's continued service on the Issuer's Board of Directors. This option is subject to full acceleration of vesting with respect to all then-unvested shares upon the consummation of a Sale Event (as defined in the Issuer's 2015 Stock Option and Incentive Plan, as amended). |
| (4) | The shares of Common Stock underlying the RSUs vest in a single installment on the earlier of (i) June 14, 2023 or (ii) the Issuer's next annual meeting of stockholders, in each case subject to the Reporting Person's continued service on the Issuer's Board of Directors. The shares of Common Stock underlying the RSUs are subject to full acceleration of vesting with respect to all then-unvested shares upon the consummation of a Sale Event (as defined in the Issuer's 2015 Stock Option and Incentive Plan, as amended). |