SEC Form 4 · accession 0001209191-15-032474
TALPHERA, INC. · TLPH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Howard B Rosen
Officer — Intermin CEO · Director
Period of report
Apr 1, 2015
Accepted (ET)
Apr 3, 2015 · 6:58 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001427925
Table I — non-derivative securities
No Table I lines on this filing.
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,F2 | $3.92 | Apr 1, 2015 | A | 240,000 | A | May 1, 2015 | Mar 31, 2025 | Common Stock | 240,000 | 240,000 | D |
Explanation of responses
- F1Issued pursuant to the 2011 Equity Incentive Plan.
- F2The shares subject to the option vest as follows: 1/12th of the shares subject to the option vest in equal monthly installments over 12 months, subject to Optionee's Continuous Service as the Company's Interim Chief Executive Officer.