UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Option | Â (1) | 12/18/2019 | Common Stock | 13,000 | $ 3.28 | D | Â |
Employee Stock Option | Â (1) | 12/16/2020 | Common Stock | 25,000 | $ 3.1 | D | Â |
Employee Stock Option | Â (1) | 12/12/2021 | Common Stock | 9,500 | $ 7.59 | D | Â |
Employee Stock Option | Â (1) | 12/18/2022 | Common Stock | 12,900 | $ 8.64 | D | Â |
Employee Stock Option | Â (1) | 12/17/2023 | Common Stock | 20,000 | $ 3.02 | D | Â |
Employee Stock Option | Â (1) | 12/04/2024 | Common Stock | 14,100 | $ 13.8 | D | Â |
Employee Stock Option | Â (2) | 01/25/2026 | Common Stock | 18,000 | $ 7.54 | D | Â |
Employee Stock Option | Â (3) | 07/25/2026 | Common Stock | 6,000 | $ 8.42 | D | Â |
Employee Stock Option | Â (4) | 01/25/2027 | Common Stock | 30,000 | $ 4.17 | D | Â |
Employee Stock Option | Â (5) | 02/16/2028 | Common Stock | 75,000 | $ 3.2 | D | Â |
Employee Stock Option | Â (6) | 08/06/2028 | Common Stock | 10,000 | $ 2.52 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Lantz Keri C/O ACHILLION PHARMACEUTICALS, INC. 300 GEORGE STREET NEW HAVEN, CT 06511 |
 |  |  See Remarks |  |
/s/ Keri Lantz | 01/07/2019 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | This option is fully vested and exercisable. |
(2) | This option was granted on January 25, 2016 and vests as to 25% of the original number of shares on the first anniversary of the grant date and as to an additional 6.25% of the original number of shares at the end of each successive three-month period thereafter. |
(3) | This option was granted on July 25, 2016 and vests as to 25% of the original number of shares on the first anniversary of the grant date and as to an additional 6.25% of the original number of shares at the end of each successive three-month period thereafter. |
(4) | This option was granted on January 25, 2017 and vests as to 25% of the original number of shares on the first anniversary of the grant date and as to an additional 6.25% of the original number of shares at the end of each successive three-month period thereafter. |
(5) | This option was granted on February 16, 2018 and vests as to 25% of the original number of shares on the first anniversary of the grant date and as to an additional 6.25% of the original number of shares at the end of each successive three-month period thereafter. |
(6) | This option was granted on August 6, 2018 and vests as to 25% of the original number of shares on the first anniversary of the grant date and as to an additional 6.25% of the original number of shares at the end of each successive three-month period thereafter. |
 Remarks: Vice President of Finance, Corporate Controller, Interim Principal Financial Officer and Interim Principal Accounting Officer. See Exhibit 24.1, Power of Attorney |