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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 | ||||||||
Stock options (right to buy) | $ 3.3 | 11/07/2013(1) | M | 10,000 | 03/30/2010(2) | 09/30/2019 | Common Stock | 10,000 | $ 0 | 20,961 (8) | D | ||||
Stock options (right to buy) | $ 2.02 | 03/09/2010(2) | 03/08/2020 | Common Stock | 13,203 | 13,203 (8) | D | ||||||||
Stock options (right to buy) | $ 2.97 | 03/01/2011(3) | 10/11/2020 | Common Stock | 30,000 | 30,000 (8) | D | ||||||||
Stock options (right to buy) | $ 3.54 | 11/22/2010(4) | 11/21/2020 | Common Stock | 90,000 | 90,000 (8) | D | ||||||||
Stock options (right to buy) | $ 5.13 | 12/22/2011(2) | 09/21/2021 | Common Stock | 30,000 | 30,000 (8) | D | ||||||||
Stock options (right to buy) | $ 5.13 | 03/22/2012(5) | 09/21/2021 | Common Stock | 90,000 | 90,000 (8) | D | ||||||||
Stock options (right to buy) | $ 5.49 | 12/25/2012(2) | 09/24/2022 | Common Stock | 50,000 | 50,000 (8) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Keltner Llew C/O RAPTOR PHARMACEUTICAL CORP. 5 HAMILTON LANDING, SUITE 160 NOVATO, CA 94949 |
X |
/s/ Kim R. Tsuchimoto, Raptor Pharmaceutical Corp., Attorney-in-fact | 11/12/2013 | |
**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) | Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on August 14, 2013. |
(2) | Fully vested and exercisable. |
(3) | Stock options vest starting on September 1, 2010, 6/48ths on February 28, 2011 and 1/48th per month thereafter. |
(4) | Stock option vests 25% immediately and 75% pro rata over 36 months. |
(5) | Stock options vest 6/48ths on March 22, 2012 and 1/48th per month thereafter. |
(6) | This transaction was executed in multiple trades at prices ranging from $13.55 to $14.40. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide, upon request, to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. |
(7) | This transaction was executed in multiple trades at prices ranging from $14.74 to $14.98. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide, upon request, to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. |
(8) | The shares listed as owned in column 9 represent the total shares for each respective option. Previous reports reflected aggregate amounts of option shares in column 9. The holding lines included on this Form 4 are included solely to correct the breakdown of shares among various stock options and are not meant to reflect any change in beneficial ownership of option shares other than those reported as a transaction on this Form 4. |