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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 | ||||||||
Option (Right to Buy) | $ 6.19 | 02/02/2007 | A | 250,000 | (8) | 02/02/2017 | Common Stock | 250,000 | (2) | 250,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
DINA DINO C/O DYNAVAX TECHNOLOGIES CORPORATION 2929 SEVENTH STREET, STE. 100 BERKELEY, CA 94710 |
X | President, CEO and Director |
/s/ Dino Dina | 02/05/2007 | |
**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) | On October 3, 2006 the Reporting Person gifted 100,000 shares of common stock to a non-profit organization as a charitable donation. |
(2) | Not applicable. |
(3) | Shares are held by the Dino Dina 1999 Revocable Trust, of which the Reporting Person is Trustee. |
(4) | Shares are held by the Stefania Dina Irrevocable Trust, of which the Reporting Person is Trustee. |
(5) | Shares are held by the Francesco Dina Irrevocable Trust, of which the Reporting Person is Trustee. |
(6) | Shares are held by the Jordan Moncharmont Irrevocable Trust, of which the Reporting Person is Trustee. |
(7) | Includes shares purchased under the Issuer's 2004 Employee Stock Purchase Plan as follows: 2,500 shares on August 13, 2004, 2,500 shares on February 14, 2005, 1,500 shares on August 12, 2005, 2,500 shares on February 14, 2006 and 1,773 shares on August 14, 2006. |
(8) | This option shall vest in equal annual installments over four years on each anniversary of the grant date. |