SEC Form 4 · accession 0001104659-15-023568
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 · 10% Owner
Jack Y. Zhang
Officer — CEO & Chief Science Officer · Director · 10% Owner
Period of report
Mar 26, 2015
Accepted (ET)
Mar 30, 2015 · 6:00 am 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 26, 2015 | A | 125,418 | $0.00 | A | 932,513 | D | |
| Common StockF1,F2 | Mar 26, 2015 | A | 53,511 | $0.00 | A | 670,307 | I | See footnote |
| Common StockF3 | holding | — | — | — | 7,631,594 | 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 | $14.95 | Mar 26, 2015 | A | 767,912 | A | — | Mar 26, 2020 | Common Stock | 767,912 | 767,912 | D |
| Employee Stock Option (right to buy)F2,F6 | $14.95 | Mar 26, 2015 | A | 327,647 | A | — | Mar 26, 2020 | Common Stock | 327,647 | 327,647 | I |
Explanation of responses
- F1The reported securities are represented by deferred stock units which vest in three equal annual installments beginning on March 26, 2016.
- F2The securities are held of record by Mary Z. Luo. The reporting persons are husband and wife.
- F3The shares are held of record by Applied Physics & Chemistry Laboratories, Inc., 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 disclaims 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 disclaims 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 26, 2016.