SEC Form 4 · accession 0001161697-15-000464
CATALYST PHARMACEUTICALS, INC. · CPRX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David S Tierney
Director
Period of report
Oct 27, 2015
Accepted (ET)
Oct 29, 2015 · 5:00 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001369568
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common stock, par value $0.001 per shareF1 | Oct 27, 2015 | M | 30,000 | $1.09 | A | 273,401 | D | |
| Common stock, par value $0.001 per shareF1 | Oct 27, 2015 | F | 10,000 | — | D | 263,401 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Options to purchase common stock | $1.09 | Oct 27, 2015 | M | 30,000 | D | Nov 5, 2010 | Nov 5, 2015 | Common Stock | 30,000 | 105,000 | D |
Explanation of responses
- F1Holder exercised 30,000 options at $1.09 per share via cashless exercise and was issued 20,000 shares based on the October 27, 2015 closing price of 3.27 per share.