SEC Form 4 · accession 0001104659-17-043014
SYNERGY PHARMACEUTICALS, INC. · SGYP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas Adams Ph.D.
Director
Period of report
Jun 28, 2017
Accepted (ET)
Jun 30, 2017 · 5:09 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001347613
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options | $4.50 | Jun 28, 2017 | A | 62,500 | A | Jun 28, 2018 | Jun 28, 2027 | Common Stock | 62,500 | 420,496 | D |
| Stock OptionsF1 | $1.40 | Jun 28, 2017 | D | 10,750 | D | — | Nov 20, 2019 | Common Stock | 10,750 | 409,746 | D |
| Stock OptionsF1 | $1.40 | Jun 28, 2017 | A | 10,750 | A | Jun 28, 2017 | Nov 20, 2019 | Common Stock | 10,750 | 420,496 | D |
Explanation of responses
- F1The reported transactions with this same footnote involved an amendment of an outstanding option, resulting in the deemed cancellation of the old option and the grant of a replacement option. The old option was originally granted on November 20, 2009. The vesting schedule of the old option was reported on a Form 3 filed by the reporting person on August 3, 2011.