SEC Form 4 · accession 0001274644-16-000161
Ocera Therapeutics, Inc. · OCRX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stan Bukofzer
Officer — Chief Medical Officer
Period of report
Dec 15, 2016
Accepted (ET)
Dec 16, 2016 · 4:39 pm EST
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 | $2.15 | Dec 15, 2016 | A | 208,350 | A | — | Dec 14, 2026 | Common Stock | 208,350 | 208,350 | 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 as follows: 25,000 of the shares vest immediately on December 15, 2016, with the balance to vest in 48 equal monthly installments beginning on January 15, 2017, subject to the Reporting Person's continued service to the Issuer through each such date.