SEC Form 4 · accession 0001171843-15-001491
Sucampo Pharmaceuticals, Inc. · SCMP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William Ashton
Director
Period of report
Mar 11, 2015
Accepted (ET)
Mar 18, 2015 · 9:37 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001365216
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Mar 11, 2015 | M | 30,000 | $4.99 | A | 30,000 | D | |
| Class A Common Stock | Mar 11, 2015 | S | 30,000 | $17.32 | D | 0 | D | |
| Class A Common Stock | Mar 11, 2015 | M | 20,000 | $3.56 | A | 20,000 | D | |
| Class A Common Stock | Mar 11, 2015 | S | 20,000 | $17.32 | D | 0 | D | |
| Class A Common Stock | Mar 11, 2015 | M | 9,600 | $4.41 | A | 9,600 | D | |
| Class A Common Stock | Mar 11, 2015 | S | 9,600 | $17.32 | D | 0 | D | |
| Class A Common Stock | Mar 11, 2015 | M | 13,500 | $4.41 | A | 13,500 | D | |
| Class A Common Stock | Mar 11, 2015 | S | 13,500 | $17.32 | D | 0 | D | |
| Class A Common Stock | Mar 11, 2015 | M | 904 | $7.71 | A | 904 | D | |
| Class A Common Stock | Mar 11, 2015 | S | 904 | $17.32 | D | 0 | D | |
| Class A Common Stock | Mar 12, 2015 | M | 19,096 | $7.71 | A | 19,096 | D | |
| Class A Common Stock | Mar 12, 2015 | S | 19,096 | $17.55 | D | 0 | D | |
| Class A Common Stock | Mar 12, 2015 | M | 20,000 | $8.62 | A | 20,000 | D | |
| Class A Common Stock | Mar 12, 2015 | S | 20,000 | $17.55 | D | 0 | D | |
| Class A Common Stock | Mar 12, 2015 | M | 16,666 | $6.80 | A | 16,666 | D | |
| Class A Common Stock | Mar 12, 2015 | S | 16,666 | $17.55 | D | 0 | 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)F1 | $4.99 | Mar 11, 2015 | M | 30,000 | D | — | Oct 15, 2019 | Class A Common Stock | 30,000 | 110,000 | D |
| Employee Stock Option (right to buy)F2 | $3.56 | Mar 11, 2015 | M | 20,000 | D | — | May 20, 2020 | Class A Common Stock | 20,000 | 90,000 | D |
| Employee Stock Option (right to buy)F3 | $4.41 | Mar 11, 2015 | M | 9,600 | D | — | May 2, 2021 | Class A Common Stock | 9,600 | 80,400 | D |
| Employee Stock Option (right to buy)F4 | $4.41 | Mar 11, 2015 | M | 13,500 | D | — | May 2, 2021 | Class A Common Stock | 13,500 | 66,900 | D |
| Employee Stock Option (right to buy)F5 | $7.71 | Mar 11, 2015 | M | 904 | D | — | May 25, 2022 | Class A Common Stock | 904 | 65,996 | D |
| Employee Stock Option (right to buy)F5 | $7.71 | Mar 12, 2015 | M | 19,096 | D | — | May 25, 2022 | Class A Common Stock | 19,096 | 46,900 | D |
| Employee Stock Option (right to buy)F6 | $8.62 | Mar 12, 2015 | M | 20,000 | D | — | May 22, 2023 | Class A Common Stock | 20,000 | 26,900 | D |
| Employee Stock Option (right to buy)F7 | $6.80 | Mar 12, 2015 | M | 16,666 | D | — | May 9, 2024 | Class A Common Stock | 16,666 | 10,234 | D |
Explanation of responses
- F1The option vested in 12 equal quarterly installments beginning on January 15, 2010.
- F2The option vested in 12 equal monthly installments beginning on June 20, 2010.
- F3The option vested 4,800 shares on June 4, 2013 and 4,800 shares on January 15, 2015.
- F4The option vested in 12 equal monthly installments beginning on June 2, 2011.
- F5The option vested in 12 equal monthly installments beginning on June 25, 2012.
- F6The option vested in 12 equal monthly installments beginning on June 22, 2013.
- F7The option vested in 12 equal monthly installments beginning on June 9, 2014.