SEC Form 4 · accession 0001104659-18-018388
Amphastar Pharmaceuticals, Inc. · AMPH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Rong Zhou
Officer — EVP, Production Center
Period of report
Mar 15, 2018
Accepted (ET)
Mar 16, 2018 · 6:16 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 StockF1,F2 | Mar 15, 2018 | A | 8,969 | $0.00 | A | 57,066 | D | |
| Common StockF3 | holding | — | — | — | 99,668 | I | See footnote | |
| Common StockF4 | holding | — | — | — | 5,000 | 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 | $19.79 | Mar 15, 2018 | A | 20,827 | A | — | Mar 15, 2028 | Common Stock | 20,827 | 20,827 | D |
Explanation of responses
- F1The reported shares are represented by restricted stock units, or RSUs, which vest in four equal annual installments beginning on March 15, 2019.
- F2Includes one share acquired under the Issuer's 2014 Employee Stock Purchase Plan on November 30, 2017.
- F3The shares are held of record by the Zhou Family Trust for which the reporting person serves as a trustee.
- F4The shares are held of record by the reporting person's spouse.
- F5Shares subject to the option vest in four equal annual installments beginning on March 15, 2019.