SEC Form 4 · accession 0001144204-15-069866
China Biologic Products, Inc. · CBPO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Zhijun Tong
Director
Period of report
Dec 4, 2015
Accepted (ET)
Dec 8, 2015 · 4:35 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001369868
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common stockF1 | Dec 4, 2015 | M | 486 | $9.85 | A | 14,486 | D | |
| Common stockF1 | Dec 4, 2015 | S | 486 | $119.00 | D | 14,000 | D | |
| Common stockF2 | Dec 4, 2015 | M | 10,000 | $9.61 | A | 24,000 | D | |
| Common stockF2 | Dec 4, 2015 | S | 10,000 | $118.00 | D | 14,000 | D | |
| Common stockF3 | Dec 7, 2015 | M | 4,514 | $9.85 | A | 18,514 | D | |
| Common stockF3 | Dec 7, 2015 | S | 4,514 | $119.00 | D | 14,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F4,F6 | $9.85 | Dec 4, 2015 | M | 486 | D | Sep 1, 2013 | Aug 31, 2022 | Common stock | 486 | 24,514 | D |
| Stock Option (right to buy)F5,F6 | $9.61 | Dec 4, 2015 | M | 10,000 | D | Oct 21, 2012 | Apr 20, 2022 | Common stock | 10,000 | 14,514 | D |
| Stock Option (right to buy)F4,F6 | $9.85 | Dec 7, 2015 | M | 4,514 | D | Sep 1, 2013 | Aug 31, 2022 | Common stock | 4,514 | 10,000 | D |
Explanation of responses
- F1Represents 486 shares of common stock sold on the open market for $119.00 per share on December 4, 2015. These shares of common stock were acquired by the Reporting Person through the cashless exercise of stock options to purchase the Issuer's common stock. See Footnote 4 below for further details on the relevant stock options.
- F2Represents 10,000 shares of common stock sold on the open market for $118.00 per share on December 4, 2015. These shares of common stock were acquired by the Reporting Person through the cashless exercise of stock options to purchase the Issuer's common stock. See Footnote 5 below for further details on the relevant stock options.
- F3Represents 4,514 shares of common stock sold on the open market for $119.00 per share on December 7, 2015. These shares of common stock were acquired by the Reporting Person through the cashless exercise of stock options to purchase the Issuer's common stock. See Footnote 4 below for further details on the relevant stock options.
- F4Represents previously reported ten year non-qualified stock options to purchase 5,000 shares of the Issuer's common stock, granted to the Reporting Person under the Issuer's 2008 equity incentive plan, pursuant to a stock option agreement dated August 31, 2012. The options vested on September 1, 2013.
- F5Represents previously reported stock options to purchase 20,000 shares of the Issuer's common stock, granted pursuant to a stock option agreement dated April 20, 2012. The options vested in two equal tranches on October 21, 2012 and April 21, 2013.
- F6Includes the balance of the previously reported stock options as disclosed in Footnotes 4 and 5 above.