SEC Form 4 · accession 0001181431-15-003279
Sagent Pharmaceuticals, Inc. · SGNT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert J Flanagan
Director
Period of report
Feb 21, 2015
Accepted (ET)
Feb 24, 2015 · 6:11 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001369786
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Feb 21, 2015 | M | 760 | $0.00 | A | 8,686 | D | |
| Common Stock | Feb 22, 2015 | M | 567 | $0.00 | A | 9,253 | D | |
| Common StockF2 | holding | — | — | — | 2,000 | I | See Footnote | |
| Common StockF3 | holding | — | — | — | 433,770 | I | See Footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF4,F5 | — | Feb 21, 2015 | M | 760 | D | — | — | Common Stock | 760 | 1,520 | D |
| Restricted Stock UnitsF4,F6 | — | Feb 22, 2015 | M | 567 | D | — | — | Common Stock | 567 | 567 | D |
Explanation of responses
- F1Vesting of restricted stock units.
- F2The shares reported are held by Flanagan Family Limited Partnership. Mr. Flanagan is a managing member of E.O. Flanagan LLC, the general partner of Flanagan Family Limited Partnership.
- F3The shares reported are held of record by CNF Investments II, LLC. Voting and investment decisions with respect to all shares held by CNF Investments II, LLC are exercised by its managing member, Mr. Flanagan. Accordingly, Mr. Flanagan may be deemed the beneficial owner of such shares.
- F4Each restricted stock unit represents a contingent right to receive one share of SGNT common stock.
- F5The restricted stock units vest in four equal annual installments beginning on February 21, 2014. Vested shares will generally be delivered to the reporting person within 30 days following the vesting date.
- F6The restricted stock units vest in four equal annual installments beginning on February 22, 2013. Vested shares will generally be delivered to the reporting person within 30 days following the vesting date.