SEC Form 4 · accession 0001209191-15-051663

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 27, 2015

Accepted (ET)

Jun 9, 2015 · 8:34 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^F1	Mar 27, 2015	F	20,877	$15.43	D	911,636	D
Common Stock	Jun 5, 2015	M	48,980	$12.97	A	960,616	D
Common Stock^F3	Jun 5, 2015	S	44,149	$16.4642	D	916,467	D
Common Stock	Jun 8, 2015	M	30,066	$12.97	A	946,533	D
Common Stock^F4	Jun 8, 2015	S	27,020	$16.614	D	919,513	D
Common Stock	Jun 9, 2015	M	28,324	$12.97	A	947,837	D
Common Stock^F5	Jun 9, 2015	S	25,700	$16.2356	D	922,137	D
Common Stock^F1,F6	Mar 27, 2015	F	8,641	$15.43	D	661,666	I	See footnote
Common Stock^F6	Jun 5, 2015	M	50,162	$12.97	A	711,828	I	See footnote
Common Stock^F7,F6	Jun 5, 2015	S	43,989	$16.4657	D	667,839	I	See footnote
Common Stock^F6	Jun 8, 2015	M	30,152	$12.97	A	697,991	I	See footnote
Common Stock^F8,F6	Jun 8, 2015	S	27,100	$16.6087	D	670,891	I	See footnote
Common Stock^F6	Jun 9, 2015	M	28,433	$12.97	A	699,324	I	See footnote
Common Stock^F9,F6	Jun 9, 2015	S	25,800	$16.1229	D	673,524	I	See footnote
Common Stock^F10	holding	—	—		—	7,631,594	I	See footnote
Common Stock^F11	holding	—	—		—	5,000	I	See footnote
Common Stock^F12	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)^F13	$12.97	Jun 5, 2015	M	48,980	D	—	Sep 28, 2015	Common Stock	48,980	226,020	D
Employee Stock Option (right to buy)^F13	$12.97	Jun 8, 2015	M	30,066	D	—	Sep 28, 2015	Common Stock	30,066	195,954	D
Employee Stock Option (right to buy)^F13	$12.97	Jun 9, 2015	M	28,324	D	—	Sep 28, 2015	Common Stock	28,324	167,630	D
Employee Stock Option (right to buy)^F6,F13	$12.97	Jun 5, 2015	M	50,162	D	—	Sep 28, 2015	Common Stock	50,162	134,838	I
Employee Stock Option (right to buy)^F6,F13	$12.97	Jun 8, 2015	M	30,152	D	—	Sep 28, 2015	Common Stock	30,152	104,686	I
Employee Stock Option (right to buy)^F6,F13	$12.97	Jun 9, 2015	M	28,433	D	—	Sep 28, 2015	Common Stock	28,433	76,253	I

Explanation of responses

F1The reported securities were withheld to satisfy the Reporting Person's tax liability in connection with the vesting of deferred stock units (DSUs).
F10The shares are held of record by Applied Physics & Chemistry Laboratories, Inc., of which the reporting persons are the sole owners.
F11The 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.
F12The 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.
F13Shares subject to the option are fully vested and immediately exercisable.
F2The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the each of the reporting persons on December 16, 2014.
F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.28 to $16.5015, 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 (3), (4), (5), (7), (8) and (9) to this Form 4.
F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.41 to $16.85, inclusive.
F5The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.50 to $16.595, inclusive.
F6The securities are held of record by Mary Z. Luo. The reporting persons are husband and wife.
F7The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.28 to $16.52, inclusive.
F8The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.41 to $16.825, inclusive.
F9The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.00 to $16.595, inclusive.