SEC Form 4 · accession 0001209191-15-053033

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

Jun 5, 2015

Accepted (ET)

Jun 12, 2015 · 9:30 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	Jun 5, 2015	F	4,831	$16.4642	D	917,306	D
Common Stock^F1	Jun 8, 2015	F	3,046	$16.614	D	914,260	D
Common Stock^F1	Jun 9, 2015	F	2,624	$16.2356	D	911,636	D
Common Stock	Jun 10, 2015	M	12,975	$12.97	A	924,611	D
Common Stock^F3	Jun 10, 2015	S	11,731	$16.3792	D	912,880	D
Common Stock^F4	Jun 10, 2015	F	1,244	$16.3792	D	911,636	D
Common Stock	Jun 11, 2015	M	12,860	$12.97	A	924,496	D
Common Stock^F5	Jun 11, 2015	S	11,600	$16.4694	D	912,896	D
Common Stock^F4	Jun 11, 2015	F	1,260	$16.4694	D	911,636	D
Common Stock	Jun 12, 2015	M	83,253	$12.97	A	994,889	D
Common Stock^F6	Jun 12, 2015	S	75,618	$16.1487	D	919,271	D
Common Stock^F4	Jun 12, 2015	F	7,635	$16.1487	D	911,636	D
Common Stock^F1,F7	Jun 5, 2015	F	6,173	$16.4657	D	667,351	I	See footnote
Common Stock^F1,F7	Jun 8, 2015	F	3,052	$16.6087	D	664,299	I	See footnote
Common Stock^F1,F7	Jun 9, 2015	F	2,633	$16.2339	D	661,666	I	See footnote
Common Stock^F7	Jun 10, 2015	M	12,619	$12.97	A	674,285	I	See footnote
Common Stock^F8,F7	Jun 10, 2015	S	11,411	$16.3719	D	662,874	I	See footnote
Common Stock^F4,F7	Jun 10, 2015	F	1,208	$16.3719	D	661,666	I	See footnote
Common Stock^F7	Jun 11, 2015	M	12,930	$12.97	A	674,596	I	See footnote
Common Stock^F9,F7	Jun 11, 2015	S	11,664	$16.4689	D	662,932	I	See footnote
Common Stock^F4,F7	Jun 11, 2015	F	1,266	$16.4689	D	661,666	I	See footnote
Common Stock^F7	Jun 12, 2015	M	42,223	$12.97	A	703,889	I	See footnote
Common Stock^F10,F7	Jun 12, 2015	S	38,471	$16.1673	D	665,418	I	See footnote
Common Stock^F4,F7	Jun 12, 2015	F	3,752	$16.1673	D	661,666	I	See footnote
Common Stock^F11	holding	—	—		—	7,631,594	I	See footnote
Common Stock^F12	holding	—	—		—	5,000	I	See footnote
Common Stock^F13	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)^F14	$12.97	Jun 10, 2015	M	12,975	D	—	Sep 28, 2015	Common Stock	12,975	154,655	D
Employee Stock Option (right to buy)^F14	$12.97	Jun 11, 2015	M	12,860	D	—	Sep 28, 2015	Common Stock	12,860	141,795	D
Employee Stock Option (right to buy)^F14	$12.97	Jun 12, 2015	M	83,253	D	—	Sep 28, 2015	Common Stock	83,253	58,542	D
Employee Stock Option (right to buy)^F7,F14	$12.97	Jun 10, 2015	M	12,619	D	—	Sep 28, 2015	Common Stock	12,619	63,634	I
Employee Stock Option (right to buy)^F7,F14	$12.97	Jun 11, 2015	M	12,930	D	—	Sep 28, 2015	Common Stock	12,930	50,704	I
Employee Stock Option (right to buy)^F7,F14	$12.97	Jun 12, 2015	M	42,223	D	—	Sep 28, 2015	Common Stock	42,223	8,481	I

Explanation of responses

F1The reported securities were withheld to satisfy the Reporting Person's tax liability in connection with a previously reported option exercise.
F10The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.03 to $16.39, inclusive.
F11The shares are held of record by Applied Physics & Chemistry Laboratories, Inc., of which the reporting persons are the sole owners.
F12The 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.
F13The 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.
F14Shares 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 $16.25 to $16.61, 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), (5), (6), (8), (9) and (10) to this Form 4.
F4The reported securities were withheld to satisfy the Reporting Person's tax liability in connection with the reported reported option exercise.
F5The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.38 to $16.62, inclusive.
F6The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.02 to $16.49, inclusive.
F7The securities are held of record by Mary Z. Luo. The reporting persons are husband and wife.
F8The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.24 to $16.55, inclusive.
F9The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.37 to $16.61, inclusive.