SEC Form 4 · accession 0001161697-15-000468
CATALYST PHARMACEUTICALS, INC. · CPRX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Patrick J McEnany
Officer — President and CEO · Director
Period of report
Oct 29, 2015
Accepted (ET)
Oct 30, 2015 · 12:43 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 29, 2015 | M | 75,000 | $1.09 | A | 4,212,262 | D | |
| Common stock, par value $0.001 per shareF1 | Oct 29, 2015 | F | 26,119 | — | D | 4,186,143 | 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 stockF2 | $1.09 | Oct 29, 2015 | M | 75,000 | D | — | Nov 5, 2015 | Common Stock | 75,000 | 600,000 | D |
Explanation of responses
- F1Holder exercised 75,000 options at $1.09 per share via cashless exercise and was issued 48,881 shares based on the October 29, 2015 closing price of $3.13 per share.
- F2Option was granted on November 5, 2010 and vested in three equal installments.