|
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 |
|
|
||||||||||||||||||||||||||||||||||||||
|
||||||||||||||||||||||||||||||||||||||
| 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) |
||||
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Restricted Stock Unit | (2) | 02/16/2024 | M(1) | 6,667 | (2) | (2) | Common Stock | 6,667 | (2) | 13,333 | D | ||||
| Stock Options (Right to Buy) | $ 12.48 | 02/15/2024 | A(5) | 13,500 | (6) | 02/15/2031 | Common Stock | 13,500 | $ 0 | 13,500 | D | ||||
| Restricted Stock Unit | (7) | 02/15/2024 | A(5) | 21,900 | (7) | (7) | Common Stock | 21,900 | (7) | 21,900 | D | ||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| Burgess Justin C/O DYNAVAX TECHNOLOGIES 2100 POWELL STREET, SUITE 720 EMERYVILLE, CA 94608 |
Chief Accounting Officer | |||
| /s/ JUSTIN BURGESS | 02/20/2024 | |
| **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) | Code M: Exercise or conversion of derivative security |
| (2) | Each RSU represents a contingent right to receive one share of common stock. The RSUs vest over three years with 1/3 vesting on each annual anniversary of February 16, 2023. |
| (3) | Code F: Payment of exercise price or tax liability by delivering or withholding securities |
| (4) | Shares withheld by Dynavax Technologies Corporation to satisfy tax withholding requirements on vesting of restricted stock units. |
| (5) | Code A: Grant, award or other acquisition |
| (6) | This option grant will vest over three (3) years with one third (1/3) of the shares subject to the option vesting twelve months after the grant date ofFebruary 15, 2024, and one thirty-sixth (1/36) of the shares subject to the option vesting each month thereafter. |
| (7) | Each RSU represents a contingent right to receive one share of common stock. The RSUs vest over three years with 1/3 vesting on each annualanniversary of February 15, 2024. |