SEC Form 5 · accession 0001274644-17-000005
Ocera Therapeutics, Inc. · OCRX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael Powell
Director
Period of report
Dec 31, 2016
Accepted (ET)
Feb 10, 2017 · 4:09 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001274644
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jul 29, 2016 | S | 11,969 | $2.53 | D | 0 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares were issued upon the Reporting Person's exercise of a stock option on July 11, 2016 that was reported on a Form 4 filed on July 13, 2016. The cash proceeds from this sale of the shares were donated by the Reporting Person to Washington University in St. Louis on August 17, 2016.