SEC Form 4 · accession 0000899243-15-009729
Amphastar Pharmaceuticals, Inc. · AMPH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Mary Z. Luo
Officer — COO & Chief Scientist · Director · 10% Owner
Jack Y. Zhang
Officer — CEO & Chief Science Officer · Director · 10% Owner
Period of report
Dec 9, 2015
Accepted (ET)
Dec 11, 2015 · 6:12 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001297184
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2,F3 | Dec 9, 2015 | S | 26,319 | $14.2913 | D | 7,498,575 | I | See footnote |
| Common StockF4,F3 | Dec 10, 2015 | S | 21,915 | $14.3228 | D | 7,476,660 | I | See footnote |
| Common StockF5,F3 | Dec 11, 2015 | S | 15,066 | $14.0539 | D | 7,461,594 | I | See footnote |
| Common Stock | holding | — | — | — | 920,117 | D | ||
| Common StockF6 | holding | — | — | — | 670,147 | I | See footnote | |
| Common StockF7 | holding | — | — | — | 5,000 | I | See footnote | |
| Common StockF8 | holding | — | — | — | 200,000 | I | See footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Applied Physics & Chemistry Laboratories, Inc., or APCL, on September 4, 2015.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.09 to $14.74 inclusive. The reporting persons undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (2), (4) and (5) to this Form 4.
- F3The shares are held of record by APCL, of which the reporting persons are the sole owners.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.205 to $14.93, inclusive.
- F5The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.825 to $14.35, inclusive.
- F6The securities are held of record by Mary Z. Luo. The reporting persons are husband and wife.
- F7The shares are held of record in an account for the benefit of the reporting person's son. The reporting persons disclaim beneficial ownership of these shares, and the inclusion of these shares in this report should not be deemed an admission of beneficial ownership of any such shares for purposes of Section 16, or for any other purpose.
- F8The shares are held of record by a trust for the benefit of the reporting person's son. The reporting persons disclaim beneficial ownership of these shares, and the inclusion of these shares in this report should not be deemed an admission of beneficial ownership of any such shares for purposes of Section 16, or for any other purpose.