SEC Form 4 · accession 0001104659-16-159635
Amphastar Pharmaceuticals, Inc. · AMPH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jason B. Shandell
Officer — President and General Counsel · Director
Period of report
Nov 25, 2016
Accepted (ET)
Nov 29, 2016 · 6:13 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 Stock | Nov 25, 2016 | M | 2,043 | $10.93 | A | 205,004 | D | |
| Common StockF2 | Nov 25, 2016 | S | 2,043 | $20.5858 | D | 202,961 | D | |
| Common Stock | Nov 28, 2016 | M | 24,292 | $10.93 | A | 227,253 | D | |
| Common StockF3 | Nov 28, 2016 | S | 24,292 | $20.4677 | D | 202,961 | 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 | $10.93 | Nov 25, 2016 | M | 2,043 | D | — | Jul 5, 2023 | Common Stock | 2,043 | 92,949 | D |
| Employee Stock Option (right to buy)F4 | $10.93 | Nov 28, 2016 | M | 24,292 | D | — | Jul 5, 2023 | Common Stock | 24,292 | 68,657 | D |
Explanation of responses
- F1The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 26, 2016.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.39 to $20.80 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 $20.30 to $20.85, inclusive.
- F4Shares subject to the option vest in four equal annual installments beginning on July 5, 2014.