SEC Form 4 · accession 0001274644-17-000022
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
Mar 29, 2017
Accepted (ET)
Mar 30, 2017 · 5:16 pm EDT
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 | Mar 29, 2017 | A | 200,000 | $0.00 | A | 202,500 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares represent Restricted Stock Units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. 50% of the RSUs shall vest on December 31, 2017, if the recipient is employed by or providing services to the Issuer on such date, and the remaining 50% of the RSUs shall vest on December 31, 2018, if the recipient is employed by or providing services to the Issuer on such date.