SEC Form 4 · accession 0001192482-17-000027
COLLEGIUM PHARMACEUTICAL, INC · COLL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael Thomas Heffernan
Officer — Chairman, President and CEO · Director
Period of report
Jan 31, 2017
Accepted (ET)
Feb 2, 2017 · 4:26 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001267565
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jan 27, 2017 | A | 1,239 | $10.08 | A | 552,542 | D | |
| Common Stock | Jan 31, 2017 | M | 3,013 | $0.48 | A | 555,555 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Purchase)F2 | $0.48 | Jan 31, 2017 | M | 3,013 | D | — | Jan 30, 2023 | Common Stock | 3,013 | 0 | D |
Explanation of responses
- F1These shares were acquired under the Collegium Pharmaceutical, Inc. 2015 Employee Stock Purchase Plan in transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3(c).
- F2All of the 3,013 option shares are exercisable.