SEC Form 4 · accession 0001104659-17-035203
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 Scientific Officer · Director · 10% Owner
Period of report
May 23, 2017
Accepted (ET)
May 25, 2017 · 4:15 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 | May 23, 2017 | M | 382,448 | $11.506 | A | 1,554,950 | D | |
| Common StockF1 | May 23, 2017 | M | 264,895 | $11.506 | A | 1,058,705 | I | See footnote |
| Common StockF2 | holding | — | — | — | 7,461,594 | I | See footnote | |
| Common StockF3 | holding | — | — | — | 5,000 | I | See footnote | |
| Common StockF4 | 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)F5 | $11.506 | May 23, 2017 | M | 382,448 | D | — | Jul 13, 2017 | Common Stock | 382,448 | 0 | D |
| Employee Stock Option (right to buy)F1,F5 | $11.506 | May 23, 2017 | M | 264,895 | D | — | Jul 13, 2017 | Common Stock | 264,895 | 0 | I |
Explanation of responses
- F1The securities are held of record by Mary Z. Luo. The reporting persons are husband and wife.
- F2The shares are held of record by APCL, of which the reporting persons are the sole owners.
- F3The 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.
- F4The 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.
- F5Shares subject to the option are fully vested and immediately exercisable.