SEC Form 4 · accession 0001171843-16-013396
Sucampo Pharmaceuticals, Inc. · SCMP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Matthias Alder
Officer — EVP, Bus. Dev.&Lic, G.C. &Sec.
Period of report
Nov 23, 2016
Accepted (ET)
Nov 28, 2016 · 9:30 pm EST
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 |
|---|---|---|---|---|---|---|---|---|
| Common Stock, Class A | Nov 23, 2016 | M | 26,000 | $8.33 | A | 29,449 | D | |
| Common Stock, Class AF1 | Nov 23, 2016 | S | 26,000 | $15.77 | D | 3,449 | D | |
| Common Stock, Class A | Nov 25, 2016 | M | 99,025 | $8.33 | A | 102,474 | D | |
| Common Stock, Class AF2 | Nov 25, 2016 | S | 99,025 | $15.88 | D | 3,449 | D | |
| Common Stock, Class A | Nov 28, 2016 | M | 24,975 | $8.33 | A | 28,424 | D | |
| Common Stock, Class AF3 | Nov 28, 2016 | S | 24,975 | $16.73 | D | 3,449 | 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 | $8.33 | Nov 23, 2016 | M | 26,000 | D | — | Oct 27, 2024 | Class A Common Stock | 26,000 | 386,500 | D |
| Employee Stock Option (right to buy)F4 | $8.33 | Nov 25, 2016 | M | 99,025 | D | — | Oct 27, 2024 | Class A Common Stock | 99,025 | 287,475 | D |
| Employee Stock Option (right to buy)F4 | $8.33 | Nov 28, 2016 | M | 24,975 | D | — | Oct 27, 2024 | Class A Common Stock | 24,975 | 262,500 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.65 to $15.88, inclusive. The reporting person will, upon request, provide Sucampo Pharmaceuticals, Inc., any security holder of Sucampo Pharmaceuticals, Inc. or the staff of the Securities and Exchange Commission full information regarding the number of shares sold at each separate price within the range.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.40 to $16.20, inclusive. The reporting person will, upon request, provide Sucampo Pharmaceuticals, Inc., any security holder of Sucampo Pharmaceuticals, Inc. or the staff of the Securities and Exchange Commission full information regarding the number of shares sold at each separate price within the range.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.15 to $17.45, inclusive. The reporting person will, upon request, provide Sucampo Pharmaceuticals, Inc., any security holder of Sucampo Pharmaceuticals, Inc. or the staff of the Securities and Exchange Commission full information regarding the number of shares sold at each separate price within the range.
- F462,996 options became exercisable on 10/27/15, and 62,996 options became exercisable on 10/27/16.