SEC Form 4 · accession 0001192482-17-000282
COLLEGIUM PHARMACEUTICAL, INC · COLL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alison B Fleming
Officer — Chief Technology Officer
Period of report
Nov 17, 2017
Accepted (ET)
Nov 21, 2017 · 5:41 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 | Nov 17, 2017 | M | 1,950 | $0.28 | A | 28,513 | D | |
| Common Stock | Nov 17, 2017 | S | 1,950 | $17.00 | D | 26,563 | D | |
| Common Stock | Nov 17, 2017 | M | 1,239 | $0.28 | A | 27,802 | D | |
| Common Stock | Nov 17, 2017 | S | 1,239 | $17.00 | D | 26,563 | D | |
| Common Stock | Nov 17, 2017 | S | 840 | $17.00 | D | 25,723 | D | |
| Common Stock | Nov 21, 2017 | M | 572 | $0.28 | A | 26,295 | D | |
| Common Stock | Nov 21, 2017 | S | 572 | $19.00 | D | 25,723 | 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 | $0.28 | Nov 17, 2017 | M | 1,950 | D | — | Mar 5, 2024 | Common Stock | 1,950 | 4,225 | D |
| Stock option (right to purchase)F3 | $0.28 | Nov 17, 2017 | M | 1,239 | D | — | Mar 5, 2024 | Common Stock | 1,239 | 4,489 | D |
| Stock option (right to purchase)F3 | $0.28 | Nov 21, 2017 | M | 572 | D | — | Mar 5, 2024 | Common Stock | 572 | 3,917 | D |
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 16, 2017.
- F22,600 option shares are exercisable. The option, initially representing a right to purchase a total of 15,623 shares, vests and becomes exercisable in equal installments (rounded up to the nearest whole share of common stock) on a monthly basis over a four-year period commencing on March 5, 2014, subject to the reporting person's continued service with the issuer.
- F32,410 option shares are exercisable. The option, initially representing a right to purchase a total of 14,492 shares, vests and becomes exercisable over a four-year period commencing on March 5, 2014. Twenty-five percent (25%) of the option vested and became exercisable on March 5, 2015 and the balance vests in equal monthly installments (rounded up to the nearest whole share of common stock) at the end of each monthly period over the remaining three years of the four-year period, subject to the reporting person's continued service with the issuer.