SEC Form 4 · accession 0001104659-17-056610
SUPERNUS PHARMACEUTICALS, INC. · SUPN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stefan K.F. Schwabe
Officer — Executive Vice President R&D
Period of report
Sep 7, 2017
Accepted (ET)
Sep 11, 2017 · 7:22 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001356576
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2 | Sep 7, 2017 | M | 95,000 | $12.92 | A | 96,855 | D | |
| Common StockF3 | Sep 7, 2017 | S | 95,000 | $46.585 | D | 1,855 | D |
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)F4 | $12.92 | Sep 7, 2017 | M | 95,000 | D | — | Aug 9, 2022 | Common Stock | 95,000 | 0 | D |
Explanation of responses
- F1Transaction made pursuant to a Rule 10b5-1 trading plan adopted August 8, 2017.
- F2Includes an aggregate of 324 shares acquired by the Reporting Person through the Issuer's Employee Stock Purchase Plan subsequent to the date of the Reporting Person's most recent filing on Form 4.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $46.000 to $47.800, inclusive. The reporting person undertakes to provide to Supernus Pharmaceuticals, Inc. ("Supernus"), any security holder of Supernus, 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 range set forth in this footnote (3) to this Form 4.
- F4The option became exercisable in four equal installments beginning on August 9, 2013, which was the first anniversary of the date on which the option was granted.