SEC Form 4 · accession 0000899243-18-008356
BIODELIVERY SCIENCES INTERNATIONAL INC · BDSI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott M. Plesha
Officer — President
Period of report
Mar 20, 2018
Accepted (ET)
Mar 22, 2018 · 6:01 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001103021
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Mar 20, 2018 | M | 8,333 | $0.00 | A | 150,031 | D | |
| Common StockF2 | Mar 20, 2018 | A | 7,125 | $0.00 | A | 157,156 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1 | $0.00 | Mar 20, 2018 | M | 8,333 | D | — | Mar 20, 2020 | Common Stock | 8,333 | 16,667 | D |
| Restricted Stock UnitsF2 | $0.00 | Mar 20, 2018 | A | 7,125 | D | — | Mar 20, 2020 | Common Stock | 7,125 | 16,667 | D |
Explanation of responses
- F1The shares of common stock were acquired by the Reporting Person as a result of the vesting of one-third of the Restricted Stock Units ("RSUs") granted to the Reporting Person on February 6, 2017 under the Issuer's 2011 Equity Incentive Plan, as amended (the "EIP"). The remainder of the RSUs under this grant will vest in equal portions after the first open window upon the filing of the Company's Annual Report in March 2019 and March 2020.
- F2The shares of common stock were acquired by the Reporting Person as a result of the vesting of one-third of the performance-based RSUs ("Performance RSUs") granted to the Reporting Person on February 6, 2017 under the EIP subject to certain performance measures. The remainder of the Performance RSUs under this grant will vest, in equal amounts, but subject to certain performance measures, after the first open window upon the filing of the Company's Annual Report in March 2019 and March 2020.