SEC FORM 4 SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
 
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
HAUSMAN DIANA

(Last) (First) (Middle)
C/O ZYMEWORKS INC.
1385 WEST 8TH AVENUE, SUITE 540

(Street)
VANCOUVER A1 V6H 3V9

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Zymeworks Inc. [ ZYME ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Chief Medical Officer
3. Date of Earliest Transaction (Month/Day/Year)
12/01/2020
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Shares 12/01/2020 M(1) 4,122 A $9.82 7,840 D
Common Shares 12/01/2020 M(1) 14,145 A $11.84 21,985 D
Common Shares 12/01/2020 S(1) 18,267 D $55.1946(2) 3,718 D
Common Shares 12/02/2020 M(1) 127 A $9.82 3,845 D
Common Shares 12/02/2020 M(1) 574 A $11.84 4,419 D
Common Shares 12/02/2020 S(1) 701 D $55.0114(3) 3,718 D
Common Shares 2,000 I Held by spouse
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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 Securities Underlying Derivative Security (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: 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
Stock Option (Right to Buy) $9.82 12/01/2020 M(1) 4,122 06/12/2018(4) 06/12/2027 Common Shares 4,122 $0.00 70,878 D
Stock Option (Right to Buy) $11.84 12/01/2020 M(1) 14,145 03/19/2019(4) 03/18/2028 Common Shares 14,145 $0.00 50,855 D
Stock Option (Right to Buy) $9.82 12/02/2020 M(1) 127 06/12/2018(4) 06/12/2027 Common Shares 127 $0.00 70,751 D
Stock Option (Right to Buy) $11.84 12/02/2020 M(1) 574 03/19/2019(4) 03/18/2028 Common Shares 574 $0.00 50,281 D
Explanation of Responses:
1. Pursuant to a 10b5-1 plan.
2. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $55.00 to $55.67, inclusive. Upon request by the Commission staff, the Company, or a security holder of the Company, the reporting person will provide full information regarding the number of shares sold by the reporting person on December 1, 2020 at each separate price.
3. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $55.00 to $55.05, inclusive. Upon request by the Commission staff, the Company, or a security holder of the Company, the reporting person will provide full information regarding the number of shares sold by the reporting person on December 2, 2020 at each separate price.
4. Stock options vest as follows: (i) 25% of underlying shares on first anniversary of grant date and (ii) remainder of underlying shares in 36 equal monthly installments on last day of month following the first anniversary of grant date. The grant date was ten years before the listed expiration date.
Remarks:
/s/ Daniel Dex, Attorney-in-Fact 12/03/2020
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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