| FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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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1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 10/01/2019 | 3. Issuer Name and Ticker or Trading Symbol Global Blood Therapeutics, Inc. [ GBT ] | |||||||||||||
| 4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) 10/03/2019 | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Beneficially Owned | |||
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| 1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
| Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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| 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: 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) | (2) | 02/08/2026 | Common Stock | 1,250(1)(2) | 12.95 | D | |
| Explanation of Responses: |
| 1. Represents stock options outstanding from an original grant of options to purchase 10,000 shares of Common Stock. The shares of Common Stock underlying the original option grant shall vest in 16 equal quarterly installments over 4 years from February 9, 2016, so long as the Reporting Person continues as an employee or other service provider of the Issuer through each vesting date. This option is subject to accelerated vesting upon termination without cause or resignation for good reason after a change of control of the Issuer. |
| 2. This amendment to the Reporting Person's Form 3, filed on October 3, 2019, revises the number of shares of the Reporting Person's stock option which was reported incorrectly as granting options to purchase 3,125 shares of Common Stock and which did not account for the Reporting Person's previous exercise of 1,875 shares of the underlying options. |
| Remarks: |
| The Form 3 filed by the Reporting Person on October 3, 2019 incorrectly included an entry in Table II reporting that the Reporting Person held stock options to purchase 625 shares of Common Stock. The Form 3 is hereby amended to delete such entry as the Reporting Person previously exercised the 625 shares of Common Stock underlying the options. |
| /s/ Lesley Ann Calhoun, as Attorney-in-Fact | 01/29/2020 | |
| ** 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 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). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| 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 Number. | ||
