SEC Form 4 · accession 0001209191-15-054326
Amphastar Pharmaceuticals, Inc. · AMPH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Mary Z. Luo
Officer — COO and Chief Scientist · Director · 10% Owner
Jack Y. Zhang
Officer — CEO & Chief Science Officer · Director · 10% Owner
Period of report
Jun 15, 2015
Accepted (ET)
Jun 17, 2015 · 6:01 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 | Jun 15, 2015 | M | 50,061 | $12.97 | A | 961,697 | D | |
| Common StockF2 | Jun 15, 2015 | S | 45,382 | $16.2938 | D | 916,315 | D | |
| Common StockF3 | Jun 15, 2015 | F | 4,679 | $16.2938 | D | 911,636 | D | |
| Common StockF4 | holding | — | — | — | 661,666 | I | See footnote | |
| Common StockF5 | holding | — | — | — | 7,631,594 | I | See footnote | |
| Common StockF6 | holding | — | — | — | 5,000 | I | See footnote | |
| Common StockF7 | 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)F8 | $12.97 | Jun 15, 2015 | M | 50,061 | D | — | Sep 28, 2015 | Common Stock | 50,061 | 8,481 | D |
| Employee Stock Option (right to buy)F4,F8 | $12.97 | holding | — | — | — | — | Sep 28, 2015 | Common Stock | 8,481 | 8,481 | I |
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 December 16, 2014.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.00 to $16.45, 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.
- F3The reported securities were withheld to satisfy the Reporting Person's tax liability in connection with the reported reported option exercise.
- F4The securities are held of record by Mary Z. Luo. The reporting persons are husband and wife.
- F5The shares are held of record by Applied Physics & Chemistry Laboratories, Inc., of which the reporting persons are the sole owners.
- F6The 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.
- F7The 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.
- F8Shares subject to the option are fully vested and immediately exercisable.