SEC Form 4 · accession 0001171843-16-013440
Sucampo Pharmaceuticals, Inc. · SCMP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel P Getman
Director
Period of report
Nov 28, 2016
Accepted (ET)
Nov 30, 2016 · 4:01 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 28, 2016 | M | 16,201 | $6.80 | A | 16,201 | D | |
| Common Stock, Class AF1 | Nov 28, 2016 | S | 16,201 | $16.89 | D | 0 | D | |
| Common Stock, Class A | Nov 29, 2016 | M | 3,799 | $6.80 | A | 3,799 | D | |
| Common Stock, Class A | Nov 29, 2016 | S | 3,799 | $16.75 | 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) | $6.80 | Nov 28, 2016 | M | 16,201 | D | May 9, 2015 | May 9, 2024 | Class A Common Stock | 16,201 | 63,799 | D |
| Employee Stock Option (right to buy) | $6.80 | Nov 29, 2016 | M | 3,799 | D | May 9, 2015 | May 9, 2024 | Class A Common Stock | 3,799 | 60,000 | 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 $16.85 to $16.95, inclusive. The reporting person will, upon request, provide 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.