Mr. Neil Klompas - 10 Mar 2023 Form 4 Insider Report for Zymeworks Inc. (ZYME)

Reporting relationship: President & COO
Issuer ticker: ZYME
Reported as of: 10 Mar 2023
Net transaction value: -$23,298
SEC form: 4
Accepted by SEC: 14 Mar 2023, 17:00:14 UTC
Prior SEC filing: 06 Jan 2023
Next SEC filing: 17 Oct 2025
Source filing: View source filing
Reporting owner signature: /s/ Daniel Dex, Attorney-in-Fact

Key filing fact

Mr. Neil Klompas filed Form 4 for Zymeworks Inc. (ZYME) on 14 Mar 2023.

Key facts

This page summarizes Mr. Neil Klompas's Form 4 filing for Zymeworks Inc. (ZYME).
5 reported transactions and 2 derivative rows are listed below.
Accepted by SEC: 14 Mar 2023, 17:00.

Change

Previous filing in this sequence was filed on 06 Jan 2023.
Current net transaction value: -$23,298.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

ZYME transaction

Common Stock

Options Exercise

Transaction value: $0
Shares: +2,500
Change %: +17%
Price: $0.000000
Shares after: 17,301
Date: 10 Mar 2023
Ownership: Direct
Footnotes: F1

ZYME transaction

Common Stock

Options Exercise

Transaction value: $0
Shares: +2,708
Change %: +16%
Price: $0.000000
Shares after: 20,009
Date: 10 Mar 2023
Ownership: Direct
Footnotes: F2

ZYME transaction

Common Stock

Sale

Transaction value: $23,298
Shares: -2,977
Change %: -15%
Price: $7.83
Shares after: 17,032
Date: 10 Mar 2023
Ownership: Direct
Footnotes: F3, F4

ZYME holding

Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 700
Date: 10 Mar 2023
Ownership: Held by spouse

Reported derivative securities

Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.

ZYME transaction Derivative

Restricted Stock Unit

Options Exercise

Transaction value: $0
Shares: -2,500
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 10 Mar 2023
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 2,500
Exercise price
Footnotes: F5, F6

ZYME transaction Derivative

Restricted Stock Unit

Options Exercise

Transaction value: $0
Shares: -2,708
Change %: -50%
Price: $0.000000
Shares after: 2,709
Date: 10 Mar 2023
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 2,708
Exercise price
Footnotes: F5, F7

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 7 footnotes

Footnote F1

Represents shares of common stock issued upon vesting of one third of the restricted stock units ("RSUs") granted on March 10, 2020.

Footnote F2

Represents shares of common stock issued upon vesting of one third of the RSUs granted on March 10, 2021.

Footnote F3

Represents shares of common stock sold to cover tax withholding obligations and other applicable fees in connection with the vesting of RSUs pursuant to mandatory "sell to cover" provisions contained in the Reporting Person's applicable RSU grant agreement, and does not represent a discretionary sale by the Reporting Person. The Reporting Person did not sell or otherwise dispose of any of the shares reported on this Form 4 for any reason other than to cover required taxes and fees.

Footnote F4

The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $7.815 to $7.86, inclusive. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price.

Footnote F5

Each RSU represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.

Footnote F6

The RSUs were granted on March 10, 2020 and vest in three equal annual instalments beginning on March 10, 2021.

Footnote F7

The RSUs were granted on March 10, 2021 and vest in three equal annual instalments beginning on March 10, 2022.