SEC Form 4 · accession 0001104659-16-146141

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

Sep 20, 2016

Accepted (ET)

Sep 22, 2016 · 4:39 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	Sep 20, 2016	M	207,350	$16.753	A	1,295,685	D
Common Stock^F2	Sep 20, 2016	S	76,152	$20.727	D	1,219,533	D
Common Stock^F3	Sep 20, 2016	S	131,198	$21.3291	D	1,088,335	D
Common Stock	Sep 21, 2016	M	55,081	$16.753	A	1,143,416	D
Common Stock^F4	Sep 21, 2016	S	54,581	$20.696	D	1,088,835	D
Common Stock^F5	Sep 21, 2016	S	500	$21.452	D	1,088,335	D
Common Stock^F6	Sep 20, 2016	M	181,768	$16.753	A	934,089	I	See footnote
Common Stock^F2,F6	Sep 20, 2016	S	86,555	$20.7387	D	847,534	I	See footnote
Common Stock^F3,F6	Sep 20, 2016	S	95,213	$21.3279	D	752,321	I	See footnote
Common Stock^F7	holding	—	—		—	7,461,594	I	See footnote
Common Stock^F8	holding	—	—		—	5,000	I	See footnote
Common Stock^F9	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)^F10	$16.753	Sep 20, 2016	M	207,350	D	—	Oct 3, 2016	Common Stock	207,350	55,081	D
Employee Stock Option (right to buy)^F10	$16.753	Sep 21, 2016	M	55,081	D	—	Oct 3, 2016	Common Stock	55,081	0	D
Employee Stock Option (right to buy)^F6,F10	$16.753	Sep 20, 2016	M	181,768	D	—	Oct 3, 2016	Common Stock	181,768	0	I

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 June 15, 2016.
F10Shares subject to the option are fully vested and immediately exercisable.
F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.08 to $21.07 inclusive. The reporting persons undertake 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), (3), (4) and (5) 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 $21.08 to $21.53, inclusive.
F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.21 to $21.17, inclusive.
F5The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.26 to $21.50, inclusive.
F6The securities are held of record by Mary Z. Luo. The reporting persons are husband and wife.
F7The shares are held of record by APCL, of which the reporting persons are the sole owners.
F8The 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.
F9The 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.