SEC Form 4 · accession 0001140361-15-025097
Raptor Pharmaceutical Corp · RPTP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas E Daley
Officer — Chief Business Officer
Period of report
Jun 18, 2015
Accepted (ET)
Jun 22, 2015 · 9:57 pm EDT
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,F2 | Jun 18, 2015 | S | 30,000 | $15.00 | D | 34,719 | D | |
| Common StockF1,F2 | Jun 18, 2015 | M | 5,000 | $3.54 | A | 39,719 | D | |
| Common StockF1,F2 | Jun 18, 2015 | S | 5,000 | $15.00 | D | 34,719 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common StockF1,F3 | $3.54 | Jun 18, 2015 | M | 5,000 | A | — | Nov 22, 2020 | Stock options (right to buy) | 5,000 | 62,864 | D |
Explanation of responses
- F1Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on August 26, 2014.
- F2Includes 11,500 Restricted Stock Units ("RSUs") granted on February 9, 2015. The Reporting Person is entitled to one (1) share of common stock for each one (1) RSU upon the vesting thereof.
- F3Fully vested and exercisable.