SEC Form 4/A · accession 0001104659-15-047031
Ophthotech Corp. · OPHT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Samir Chandrakant Patel
Officer — President · Director
Period of report
Jun 19, 2015
Accepted (ET)
Jun 23, 2015 · 5:22 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001410939
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jun 19, 2015 | M | 88,904 | $1.59 | A | 88,904 | D | |
| Common Stock | Jun 19, 2015 | M | 68,157 | $1.59 | A | 157,061 | D | |
| Common Stock | Jun 19, 2015 | M | 7,937 | $1.59 | A | 164,998 | D | |
| Common Stock | Jun 19, 2015 | M | 37,377 | $1.59 | A | 202,375 | D | |
| Common Stock | Jun 19, 2015 | M | 42,583 | $1.65 | A | 244,958 | D | |
| Common Stock | Jun 19, 2015 | M | 3 | $1.65 | A | 244,961 | D | |
| Common Stock | Jun 19, 2015 | M | 14,331 | $13.22 | A | 259,292 | 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)F1 | $1.59 | Jun 19, 2015 | M | 88,904 | D | — | May 17, 2020 | Common Stock | 88,904 | 0 | D |
| Stock Option (Right To Buy)F2 | $1.59 | Jun 19, 2015 | M | 68,157 | D | — | May 17, 2020 | Common Stock | 68,157 | 0 | D |
| Stock Option (Right To Buy)F3 | $1.59 | Jun 19, 2015 | M | 7,937 | D | — | May 17, 2020 | Common Stock | 7,937 | 0 | D |
| Stock Option (Right To Buy)F4 | $1.59 | Jun 19, 2015 | M | 37,377 | D | — | May 17, 2020 | Common Stock | 37,377 | 0 | D |
| Stock Option (Right To Buy)F5 | $1.65 | Jun 19, 2015 | M | 42,583 | D | — | May 10, 2021 | Common Stock | 42,583 | 0 | D |
| Stock Option (Right To Buy)F6 | $1.65 | Jun 19, 2015 | M | 3 | D | — | Apr 8, 2022 | Common Stock | 3 | 0 | D |
| Stock Option (Right To Buy)F7 | $13.22 | Jun 19, 2015 | M | 14,331 | D | — | May 28, 2023 | Common Stock | 14,331 | 14,382 | D |
Explanation of responses
- F1This option was granted on May 18, 2010 and is currently exercisable for all shares underlying the option.
- F2This option was granted on May 18, 2010 and is currently exercisable for all shares underlying the option.
- F3This option was granted on May 18, 2010 and is currently exercisable for all shares underlying the option.
- F4This option was granted on May 18, 2010 and is currently exercisable for all shares underlying the option.
- F5This option was granted on May 11, 2011 and is currently exercisable for all shares underlying the option.
- F6This option was granted on April 9, 2012 and is currently exercisable for all shares underlying the option.
- F7This option was granted on May 29, 2013 and vests over four years, with 2.0833% of the original number of shares underlying the option vesting monthly from the date of grant.
Remarks
This amendment to the June 22, 2015 Form 4 of the Reporting Person is made solely to (i) correct a scrivener's error with respect to the total number of shares beneficially owned following the reported transactions in Table I and (ii) remove footnote number 1 applied to the transaction codes in Tables I and II, which had previously stated that the exercises reported herein were effected pursuant to a Rule 10b5-1 trading plan. This amendment restates the original Form 4 in its entirety, and except for the foregoing changes, no other changes were made to the original Form 4.