SEC Form 4 · accession 0001104659-18-033849
SUPERNUS PHARMACEUTICALS, INC. · SUPN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Padmanabh P. Bhatt
Officer — Sr. VP of IP, CSO
Period of report
May 15, 2018
Accepted (ET)
May 16, 2018 · 5:05 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 Stock | May 15, 2018 | M | 368 | $9.24 | A | 7,868 | D | |
| Common StockF2 | May 15, 2018 | S | 368 | $57.9256 | D | 7,500 | D | |
| Common Stock | May 15, 2018 | M | 7,500 | $9.13 | A | 15,000 | D | |
| Common StockF2 | May 15, 2018 | S | 7,500 | $57.9256 | D | 7,500 | 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)F3 | $9.24 | May 15, 2018 | M | 368 | D | — | Jan 21, 2024 | Common Stock | 368 | 7,500 | D |
| Employee Stock Option (Right to Buy)F4 | $9.13 | May 15, 2018 | M | 7,500 | D | — | Mar 3, 2025 | Common Stock | 7,500 | 22,500 | D |
Explanation of responses
- F1Transaction made pursuant to a Rule 10b5-1 trading plan adopted December 14, 2017.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $57.9000 to $57.9500, 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 (2) to this Form 4.
- F3The option became exercisable in four equal installments beginning on January 21, 2015, which was the first anniversary of the date on which the option was granted.
- F4The option became exercisable in four equal installments beginning on March 3, 2016, which was the first anniversary of the date on which the option was granted.