SEC Form 4 · accession 0001209191-15-070557
Insys Therapeutics, Inc. · INSY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Theodore H Stanley
Director
Period of report
Sep 10, 2015
Accepted (ET)
Sep 14, 2015 · 5:24 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001516479
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Sep 10, 2015 | M | 2,000 | $3.63 | A | 4,000 | D | |
| Common Stock | Sep 10, 2015 | S | 1,300 | $36.00 | D | 2,700 | D | |
| Common Stock | Sep 10, 2015 | S | 700 | $36.01 | D | 2,000 | D | |
| Common Stock | Sep 14, 2015 | M | 2,000 | $3.63 | A | 4,000 | D | |
| Common StockF2 | Sep 14, 2015 | S | 2,000 | $38.08 | D | 2,000 | D | |
| Common StockF3,F4 | holding | — | — | — | 6,000 | I | by non-profit corporation | |
| Common StockF5,F4 | holding | — | — | — | 10,200 | I | by limited partnership |
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)F8,F6,F7 | $3.63 | Sep 10, 2015 | M | 2,000 | D | — | May 13, 2023 | Common Stock | 2,000 | 38,000 | D |
| Stock Option (right to buy)F7 | $3.63 | Sep 14, 2015 | M | 2,000 | D | — | May 13, 2023 | Common Stock | 2,000 | 36,000 | D |
Explanation of responses
- F1On June 5, 2015, the Issuer effected a 2-for-1 forward stock split pursuant to a stock dividend, resulting in the reporting person's ownership of 1,000 additional shares.
- F2The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.03 to $37.17 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F3On June 5, 2015, the Issuer effected a 2-for-1 forward stock split pursuant to a stock dividend, resulting in the reporting person's ownership of 3,000 additional shares.
- F4The Reporting Person disclaims beneficial ownership of the Securities except to the extent of his pecuriniary interest therein.
- F5On June 5, 2015, the Issuer effected a 2-for-1 forward stock split pursuant to a stock dividend, resulting in the reporting person's ownership of 5,100 additional shares.
- F6The exercise price reflects a 2-for-1 forward stock split effected by the Issuer on June 5, 2015.
- F7The option vests in 48 equal monthly installments and will be fully vested and exercisable on May 14, 2017.
- F8On June 5, 2015, the Issuer effected a 2-for-1 forward stock split, resulting in the reporting person's ownership of 20,000 additional options.