SEC Form 4 · accession 0001104659-16-145907
SYNERGY PHARMACEUTICALS, INC. · SGYP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John P Brancaccio
Director
Period of report
Sep 19, 2016
Accepted (ET)
Sep 21, 2016 · 4:31 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001347613
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Sep 19, 2016 | M | 1,439 | $4.61 | A | 21,883 | D | |
| Common Stock | Sep 19, 2016 | M | 1,079 | $4.28 | A | 22,962 | D | |
| Common Stock | Sep 19, 2016 | S | 2,518 | $5.76 | D | 20,444 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF1 | $4.61 | Sep 19, 2016 | M | 1,439 | D | — | Oct 19, 2016 | Common Stock | 1,439 | 419,951 | D |
| Stock OptionsF1 | $4.28 | Sep 19, 2016 | M | 1,079 | D | — | Oct 12, 2016 | Common Stock | 1,079 | 418,872 | D |
Explanation of responses
- F1Fully vested.