SEC Form 4 · accession 0001161697-17-000498
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
Nov 13, 2017
Accepted (ET)
Nov 14, 2017 · 5:17 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 13, 2017 | M | 26,667 | — | A | 4,697,693 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | — | Nov 13, 2017 | M | 26,667 | D | — | — | Common Stock | 26,667 | 0 | D |
Explanation of responses
- F1Restricted stock units convert into common stock on a one-for-one basis.
- F2On November 13, 2014, the reporting person was granted 80,000 restricted stock units, vesting in three annual installments beginning on the first anniversary of the grant date. The shares underlying the restricted stock units must be issued within 30 days of vesting. This Form 4 is filed to report the issuance of the final tranche of vested shares on November 13, 2017.