SEC Form 4 · accession 0001209191-16-098102
ZEVRA THERAPEUTICS, INC. · ZVRA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Matthew R Plooster
Director
Period of report
Feb 10, 2016
Accepted (ET)
Feb 12, 2016 · 4:35 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001434647
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Feb 10, 2016 | X | 3,572 | $3.90 | A | 8,117 | D | |
| Common Stock | Feb 10, 2016 | X | 51 | $5.85 | A | 8,168 | D | |
| Common Stock | holding | — | — | — | 1,117 | I | By TD Ameritrade Clearing Inc. Custodian FBO Matthew Ryan Plooster Roth IRA, as trustee | |
| Common StockF1 | holding | — | — | — | 428,304 | I | By Bridgepoint Investment Partners I LLLP |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant to Purchase Common Stock (right to buy)F2 | $3.90 | Feb 10, 2016 | X | 3,572 | D | — | Mar 23, 2016 | Common Stock | 3,572 | 0 | D |
| Warrant to Purchase Common Stock (right to buy)F2,F3 | $5.85 | Feb 10, 2016 | X | 51 | D | — | — | Common Stock | 51 | 0 | D |
Explanation of responses
- F1The shares directly held by Bridgepoint Investment Partners I LLLP, or Bridgepoint, are indirectly held by its general partner, Bridgepoint Capital Partners, LLP, or BPCP. The individual managers of BPCP are Matthew R. Plooster and Adam S. Claypool. Matthew R. Plooster and Adam S. Claypool share voting and dispositive power with regard to the shares directly held by Bridgepoint.
- F2Immediately exercisable.
- F3The warrant expires as of 5:00 p.m. C.S.T. on the earliest of (i) June 2, 2019 and (ii) the effective date of the closing of a Company Sale Transaction (as such term is defined in the warrant)