SEC Form 4 · accession 0001140361-15-004169
Raptor Pharmaceutical Corp · RPTP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard L Franklin
Director
Period of report
Feb 2, 2015
Accepted (ET)
Feb 4, 2015 · 6:00 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001070698
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Feb 2, 2015 | M | 6,171 | $2.23 | A | 6,171 | D | |
| Common StockF1 | Feb 2, 2015 | M | 938 | $2.02 | A | 7,109 | D | |
| Common StockF1,F2 | Feb 2, 2015 | S | 7,109 | $9.2031 | D | 0 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock options (right to buy)F1,F3 | $2.23 | Feb 2, 2015 | M | 6,171 | D | — | Jul 10, 2018 | Common Stock | 6,171 | 0 | D |
| Stock options (right to buy)F1,F3 | $2.02 | Feb 2, 2015 | M | 938 | D | — | Mar 9, 2020 | Common Stock | 938 | 0 | D |
Explanation of responses
- F1Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on August 10, 2014.
- F2This transaction was executed in multiple trades at prices ranging from $8.92 to $9.51. 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.
- F3Fully vested and exercisable.