SEC Form 4 · accession 0001161697-17-000494
CATALYST PHARMACEUTICALS, INC. · CPRX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Philip H Coelho
Director
Period of report
Nov 9, 2017
Accepted (ET)
Nov 13, 2017 · 4:22 pm EST
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 | Nov 9, 2017 | M | 50,000 | $0.47 | A | 223,287 | D | |
| Common stock, par value $0.001 per shareF1 | Nov 9, 2017 | F | 7,860 | — | D | 215,427 | 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 | $0.47 | Nov 9, 2017 | M | 50,000 | D | Dec 12, 2012 | Dec 12, 2017 | Common Stock | 50,000 | 145,000 | D |
Explanation of responses
- F1Holder exercised 50,000 options at $0.47 per share via cashless exercise and was issued 42,140 shares based on the November 8, 2017 closing price of $2.99 per share.