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 |
Stock Option (right to buy)
|
06/01/2006(2)
|
05/31/2015 |
Common Stock
|
10,000
|
$
7.02
|
D
|
Â
|
Stock Option (right to buy)
|
12/16/2009(3)
|
12/15/2018 |
Common Stock
|
9,000
|
$
5.04
|
D
|
Â
|
Stock Option (right to buy)
|
02/26/2010(4)
|
02/25/2019 |
Common Stock
|
4,500
|
$
4.42
|
D
|
Â
|
Stock Option (right to buy)
|
02/26/2010(4)
|
02/25/2019 |
Common Stock
|
8,000
|
$
4.42
|
D
|
Â
|
Stock Option (right to buy)
|
08/05/2010(5)
|
10/17/2015 |
Common Stock
|
14,000
|
$
5.63
|
D
|
Â
|
Stock Option (right to buy)
|
08/05/2010(5)
|
10/17/2015 |
Common Stock
|
19,998
|
$
5.63
|
D
|
Â
|
Stock Option (right to buy)
|
08/05/2010(5)
|
10/17/2015 |
Common Stock
|
9,000
|
$
5.63
|
D
|
Â
|
Stock Option (right to buy)
|
08/05/2010(6)
|
10/17/2015 |
Common Stock
|
12,002
|
$
5.63
|
D
|
Â
|
Stock Option (right to buy)
|
08/05/2010(6)
|
10/17/2015 |
Common Stock
|
15,000
|
$
5.63
|
D
|
Â
|
Stock Option (right to buy)
|
08/05/2010(6)
|
10/17/2015 |
Common Stock
|
2,000
|
$
5.63
|
D
|
Â
|
Stock Option (right to buy)
|
09/28/2012(7)
|
09/28/2018 |
Common Stock
|
39,188
|
$
5.5
|
D
|
Â
|
Restricted Stock Units
|
Â
(8)
|
Â
(8)
|
Common Stock
|
2,176
|
$
(9)
|
D
|
Â
|
Stock Option (right to buy)
|
09/21/2013(10)
|
09/20/2019 |
Common Stock
|
25,200
|
$
5.56
|
D
|
Â
|
Restricted Stock Units
|
Â
(11)
|
Â
(11)
|
Common Stock
|
6,300
|
$
(9)
|
D
|
Â
|
Stock Option (right to buy)
|
09/18/2014(12)
|
09/17/2020 |
Common Stock
|
39,000
|
$
5.51
|
D
|
Â
|
Restricted Stock Units
|
Â
(13)
|
Â
(13)
|
Common Stock
|
13,000
|
$
(9)
|
D
|
Â
|
* |
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) |
Represents 1,320 shares of Exelixis, Inc. common stock under the Exelixis, Inc. 401(k) Plan, pursuant to a plan statement dated as of June 2, 2014. |
(2) |
Option granted to reporting person on June 1, 2005, pursuant to the Exelixis, Inc. 2000 Equity Incentive Plan. The option is fully vested and exercisable as of the date of this filing. The option vested as to 1/4th of the original number of shares subject to the option on the one-year anniversary of the grant date, and thereafter as to 1/48th of the original number of shares subject to the option on each monthly anniversary of the grant date. |
(3) |
Option granted to reporting person on December 16, 2008, pursuant to the Exelixis, Inc. 2000 Equity Incentive Plan. The option is fully vested and exercisable as of the date of this filing. The option vested as to 1/4th of the original number of shares subject to the option on the one-year anniversary of the grant date, and thereafter as to 1/48th of the original number of shares subject to the option on each monthly anniversary of the grant date. |
(4) |
Option granted to reporting person on February 26, 2009, pursuant to the Exelixis, Inc. 2000 Equity Incentive Plan. The option is fully vested and exercisable as of the date of this filing. The option vested as to 1/4th of the original number of shares subject to the option on the one-year anniversary of the grant date, and thereafter as to 1/48th of the original number of shares subject to the option on each monthly anniversary of the grant date. |
(5) |
Option granted to reporting person on August 5, 2009, pursuant to the Exelixis, Inc. 2000 Equity Incentive Plan. The option is fully vested and exercisable as of the date of this filing. The option vested as to 100% of the original number of shares subject to the option on the one-year anniversary of the grant date. |
(6) |
Option granted to reporting person on August 5, 2009, pursuant to the Exelixis, Inc.2000 Equity Incentive Plan. The option is fully vested and exercisable as of the date of this filing. The option vested as to 1/3rd of the original number of shares subject to the option on the one-year anniversary of the grant date, and thereafter as to 1/36th of the original number of shares subject to the option on each monthly anniversary of the grant date. |
(7) |
Option granted to reporting person on September 28, 2011, pursuant to the Exelixis, Inc. 2011 Equity Incentive Plan. 26,125 shares subject to the option are fully vested and exercisable as of the date of this filing. The option vested as to 1/4th of the original number of shares subject to the option on the one-year anniversary of the grant date, and thereafter as to 1/48th of the original number of shares subject to the option on each monthly anniversary of the grant date through the date of this filing. The unvested portion of the option will continue to vest as to 1/48th of the original number of shares subject to the option on each monthly anniversary of the grant date. |
(8) |
Represents unvested restricted stock units remaining from a grant to the reporting person of 4,354 restricted stock units on September 28, 2011, pursuant to the Exelixis, Inc. 2011 Equity Incentive Plan. The remaining unvested restricted stock units will vest as to 1/4th of the original number of shares subject to the restricted stock units on each succeeding November 15th until fully vested. |
(9) |
Each restricted stock unit is the economic equivalent of one share of Exelixis, Inc. common stock. |
(10) |
Option granted to reporting person on September 21, 2012, pursuant to the Exelixis, Inc. 2011 Equity Incentive Plan. 10,500 shares subject to the option are fully vested and exercisable as of the date of this filing. The option vested as to 1/4th of the original number of shares subject to the option on the one-year anniversary of the grant date, and thereafter as to 1/48th of the original number of shares subject to the option on each monthly anniversary of the grant date through the date of this filing. The unvested portion of the option will continue to vest as to 1/48th of the original number of shares subject to the option on each monthly anniversary of the grant date. |
(11) |
Represents unvested restricted stock units remaining from a grant to the reporting person of 8,400 restricted stock units on September 21, 2012, pursuant to the Exelixis, Inc. 2011 Equity Incentive Plan. The remaining unvested restricted stock units will vest as to 1/4th of the original number of shares subject to the restricted stock units on each succeeding November 15th until fully vested. |
(12) |
Option granted to reporting person on September 18, 2013, pursuant to the Exelixis, Inc. 2011 Equity Incentive Plan. The option will vest as to 1/4th of the original number of shares subject to the option on the one-year anniversary of the grant date, and thereafter as to 1/48th of the original number of shares subject to the option on each monthly anniversary of the grant date. |
(13) |
Represents restricted stock units granted to the reporting person on September 18, 2013, pursuant to the Exelixis, Inc. 2011 Equity Incentive Plan. None of the restricted stock units have vested as of the date of this filing. The restricted stock units will vest as to 1/4th of the original number of shares subject to the restricted stock units on November 15, 2014, and thereafter as to 1/4th of the original number of shares subject to the restricted stock units on each succeeding November 15th until fully vested. |