SEC Form 4 · accession 0001209191-19-002934
Horizon Pharma plc · HZNP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert Carey
Officer — EVP, Chief Business Officer
Period of report
Jan 4, 2019
Accepted (ET)
Jan 8, 2019 · 8:37 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001492426
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Ordinary SharesF1 | Jan 5, 2019 | M | 65,695 | — | A | 65,695 | D | |
| Ordinary Shares | Jan 5, 2019 | F | 29,419 | $20.39 | D | 36,276 | D | |
| Ordinary SharesF2 | holding | — | — | — | 172,504 | I | By Robert F. Carey III Trust dated 4.24.01 |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock Units (RSU)F1,F3 | — | Jan 4, 2019 | A | 53,948 | A | — | — | Ordinary Shares | 53,948 | 53,948 | D |
| Restricted Stock Units (RSU)F1,F4 | — | Jan 5, 2019 | M | 65,695 | D | — | — | Ordinary Shares | 65,695 | 131,392 | D |
Explanation of responses
- F1Each RSU represents a contingent right to receive one ordinary share of the Issuer.
- F2Includes 2,370 ordinary shares of the Issuer acquired by the reporting person on June 1, 2018 pursuant to an employee stock purchase program and subsequently transferred to his living trust. Also includes 39,106 shares previously reported as directly held by the reporting person.
- F3The RSU's vest 1/3rd annually on each anniversary of January 5, 2019.
- F4The RSU's vest 1/3rd annually on each anniversary of January 5, 2018.