SEC Form 4 · accession 0000899243-16-018345
Amphastar Pharmaceuticals, Inc. · AMPH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Diane G. Gerst
Officer — EVP, QA & Regulatory Affairs
Period of report
Apr 18, 2016
Accepted (ET)
Apr 20, 2016 · 4:52 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 Stock | Apr 18, 2016 | M | 8,210 | $10.48 | A | 39,713 | D | |
| Common Stock | Apr 18, 2016 | M | 6,000 | $11.41 | A | 45,713 | D | |
| Common StockF2 | Apr 18, 2016 | S | 15,637 | $12.8317 | D | 30,076 | D | |
| Common Stock | Apr 19, 2016 | M | 5,607 | $10.48 | A | 35,683 | D | |
| Common StockF3 | Apr 19, 2016 | S | 5,607 | $13.0417 | D | 30,076 | D |
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)F4 | $11.41 | Apr 18, 2016 | M | 6,000 | D | — | Mar 8, 2021 | Common Stock | 6,000 | 9,000 | D |
| Employee Stock Option (right to buy)F5 | $10.48 | Apr 18, 2016 | M | 8,210 | D | — | Nov 7, 2022 | Common Stock | 8,210 | 11,790 | D |
| Employee Stock Option (right to buy)F5 | $10.48 | Apr 19, 2016 | M | 5,607 | D | — | Nov 7, 2022 | Common Stock | 5,607 | 6,183 | D |
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 17, 2016.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.62 to $12.96, inclusive. The Reporting Person 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) and (3) to this Form 4.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.91 to $13.13, inclusive.
- F4Shares subject to the option vest in five equal annual installments beginning on March 8, 2012.
- F5Shares subject to the option vest in four equal annual installments beginning on November 7, 2013.