SEC Form 4 · accession 0000899243-16-016351
Amphastar Pharmaceuticals, Inc. · AMPH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Mary Z. Luo
Officer — COO, Chief Scientist, Chairman · Director
Jack Y. Zhang
Officer — CEO & Chief Science Officer · Director · 10% Owner
Period of report
Mar 17, 2016
Accepted (ET)
Mar 21, 2016 · 8:03 pm EDT
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 StockF1 | Mar 17, 2016 | A | 184,466 | $0.00 | A | 1,129,902 | D | |
| Common StockF1,F2 | Mar 17, 2016 | A | 79,435 | $0.00 | A | 767,666 | I | See footnote |
| Common StockF3 | holding | — | — | — | 7,461,594 | I | See footnote | |
| Common StockF4 | holding | — | — | — | 5,000 | I | See footnote | |
| Common StockF5 | holding | — | — | — | 200,000 | I | See footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F6 | $12.46 | Mar 17, 2016 | A | 722,046 | A | — | Mar 17, 2024 | Common Stock | 722,046 | 722,046 | D |
| Employee Stock Option (right to buy)F2,F6 | $12.46 | Mar 17, 2016 | A | 310,930 | A | — | Mar 17, 2024 | Common Stock | 310,930 | 310,930 | I |
Explanation of responses
- F1The reported shares are represented by deferred stock units, or DSUs, which vest in three equal annual installments beginning on March 17, 2017.
- F2The securities are held of record by Mary Z. Luo. The reporting persons are husband and wife.
- F3The securities are held of record by APCL, of which the reporting persons are the sole owners.
- F4The shares are held of record in an account for the benefit of the reporting persons' 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.
- F5The shares are held of record by a trust for the benefit of the reporting persons' 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.
- F6Shares subject to the option vest in three equal annual installments beginning on March 17, 2017.