SEC Form 4 · accession 0001140361-15-034926
Raptor Pharmaceutical Corp · RPTP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Suzanne Louise Bruhn
Director
Period of report
Sep 9, 2015
Accepted (ET)
Sep 11, 2015 · 8:08 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 | Sep 9, 2015 | M | 45,000 | $3.33 | A | 51,695 | D | |
| Common StockF1 | Sep 9, 2015 | M | 15,000 | $5.13 | A | 66,695 | D | |
| Common StockF2,F1 | Sep 9, 2015 | S | 18,258 | $12.4729 | D | 48,437 | 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)F3 | $3.33 | Sep 9, 2015 | M | 45,000 | D | — | Apr 11, 2021 | Common Stock | 45,000 | 0 | D |
| Stock options (right to buy)F3 | $5.13 | Sep 9, 2015 | M | 15,000 | D | — | Sep 22, 2021 | Common Stock | 15,000 | 0 | D |
Explanation of responses
- F1Includes 5021 Restricted Stock Units ("RSUs") granted on May 19, 2015. The Reporting Person is entitled to one (1) share of common stock for each one (1) RSU upon the vesting thereof. The RSUs vest in four equal quarterly installments with the final installment vesting no later than immediately prior to the 2016 annual meeting of stockholders.
- F2This transaction was executed in multiple trades at prices ranging from $12.36 to $12.51. 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.