SEC Form 4 · accession 0001104659-16-127414
Ocera Therapeutics, Inc. · OCRX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Wendall Wierenga
Director
Period of report
Jun 14, 2016
Accepted (ET)
Jun 15, 2016 · 5:29 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001274644
Table I — non-derivative securities
No Table I lines on this filing.
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 Buy)F1,F2 | $2.26 | Jun 14, 2016 | A | 12,500 | A | — | Jun 13, 2026 | Common Stock | 12,500 | 12,500 | D |
Explanation of responses
- F1Option to purchase Common Stock granted by the Issuer pursuant to the Issuer's Fourth Amended and Restated 2011 Stock Option and Incentive Plan (the "Plan"), qualified under Rule 16b-3(d).
- F2The option shall vest and become exercisable in equal monthly installments over the 12 month period commencing on June 14, 2016; provided, in all cases, that the Reporting Person is, as of each such vesting date, then a director of the Issuer.