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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 | ||||||||
Employee Stock Option (right to buy) | $ 24.81 | 12/06/2006 | A | 22,000 | (1) | 12/06/2013 | Common Stock | 22,000 | $ 0 | 22,000 | D | ||||
Restricted Stock Units | (2) | 12/06/2006 | A | 2,200 | (3) | (3) | Common Stock | 2,200 | $ 0 | 2,200 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Dupont Steven N 2525 28TH STREET SUITE 200 BOULDER, CO 80301 |
VP, General Counsel |
/s/ Erle T. Mast, Attorney-in-Fact | 12/07/2006 | |
**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) | The option is exercisable in accordance with its vesting schedule. Twenty-five percent of the options vest on the first anniversary of the date of grant and 1/48th monthly thereafter. |
(2) | Each restricted stock unit represents a contingent right to receive one share of Pharmion common stock. |
(3) | Twenty-five percent of the restricted stock units vest on the first anniversary of the date of grant and 3/48th on each three-month anniversary thereafter. Settlement of vested shares will occur each January 15, at which time vested shares will be delivered to the reporting person as promptly as practicable following the settlement date. |