SEC Form 4 · accession 0001179110-18-008309
Esperion Therapeutics, Inc. · ESPR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dov A Goldstein M.D.
Director
Period of report
Jun 6, 2018
Accepted (ET)
Jun 8, 2018 · 5:08 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001434868
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jun 6, 2018 | M | 5,000 | $14.42 | A | 5,047 | D | |
| Common Stock | Jun 6, 2018 | M | 8,000 | $17.75 | A | 13,047 | D | |
| Common Stock | Jun 6, 2018 | J | 5,000 | $0.00 | D | 8,047 | D | |
| Common Stock | Jun 6, 2018 | J | 8,000 | $0.00 | D | 47 | 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) | $14.42 | Jun 6, 2018 | M | 5,000 | A | May 15, 2015 | May 15, 2024 | Common Stock | 5,000 | 0 | D |
| Stock Option (right to buy) | $17.75 | Jun 6, 2018 | M | 8,000 | A | Jun 9, 2017 | Jun 9, 2026 | Common Stock | 8,000 | 0 | D |
Explanation of responses
- F1The reporting person was formerly a managing partner at Aisling Capital, which is an affiliate of Aisling Capital II, L.P. ("Aisling"). Under the partnership agreement for the Aisling, the reporting person was deemed to hold the stock option and the shares issuable thereunder for the benefit of Aisling. The stock option was exercised at the direction of Aisling and the shares issued upon exercise were delivered to Aisling. The reporting person disclaims beneficial ownership of the stock option and the shares issuable thereunder, except to the extent of his pecuniary interest therein.