SEC Form 4 · accession 0001437749-17-006460
TALPHERA, INC. · TLPH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lawrence G Hamel
Officer — Chief Development Officer
Period of report
Apr 10, 2017
Accepted (ET)
Apr 11, 2017 · 5:29 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001427925
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Apr 10, 2017 | A | 9,122 | $1.20 | A | 73,475 | D | |
| Common StockF1 | Apr 10, 2017 | A | 6,879 | — | A | 80,354 | 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)F2 | $1.20 | Apr 10, 2017 | D | 9,122 | D | — | Dec 5, 2017 | Common Stock | 9,122 | 0 | D |
Explanation of responses
- F1Non-reportable acquisition of 6,879 shares of Common Stock through the Company's Employee Stock Purchase Plan.
- F2Options vest as follows: 1/4 of the shares subject to the option vest on December 4, 2008 with the remaining shares subject to the option vesting on an equal monthly basis over 36 months.