SEC Form 4 · accession 0001192482-18-000151
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
Apr 2, 2018
Accepted (ET)
Apr 4, 2018 · 4:50 pm EDT
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 | Apr 2, 2018 | M | 4,225 | $0.28 | A | 53,541 | D | |
| Common Stock | Apr 2, 2018 | M | 3,917 | $0.28 | A | 57,458 | 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)F1 | $0.28 | Apr 2, 2018 | M | 4,225 | D | — | Mar 5, 2024 | Common Stock | 4,225 | 0 | D |
| Stock option (right to purchase)F2 | $0.28 | Apr 2, 2018 | M | 3,917 | D | — | Mar 5, 2024 | Common Stock | 3,917 | 0 | D |
Explanation of responses
- F14,225 option shares are exercisable. The option, initially representing a right to purchase a total of 15,623 shares, vested and became 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.
- F23,917 option shares are exercisable. The option, initially representing a right to purchase a total of 14,492 shares, vested and became 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 vested 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.