SEC Form 4 · accession 0001104659-18-014879
Neos Therapeutics, Inc. · NEOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dorothy Engelking
Officer — VP, Regulatory Affairs
Period of report
Mar 1, 2018
Accepted (ET)
Mar 5, 2018 · 5:16 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001467652
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Mar 1, 2018 | A | 3,750 | $0.00 | A | 10,416 | 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 | $8.30 | Mar 1, 2018 | A | 11,250 | A | — | Mar 1, 2028 | Common Stock | 11,250 | 11,250 | D |
Explanation of responses
- F1Represents shares of common stock underlying restricted stock unit grants awarded to the Reporting Person. The restricted stock units will vest in four equal, annual installments beginning on March 1, 2019.
- F2This stock option will vest in four equal, annual installments beginning on March 1, 2019.