SEC Form 4 · accession 0001445064-15-000099
Keenova Therapeutics plc
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Matthew K Harbaugh
Officer — Sr. VP & CFO
Period of report
Jun 1, 2015
Accepted (ET)
Jun 2, 2015 · 5:28 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001567892
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Ordinary Shares | Jun 1, 2015 | M | 3,166 | $34.50 | A | 34,539 | D | |
| Ordinary Shares | Jun 1, 2015 | M | 14,951 | $31.12 | A | 49,490 | D | |
| Ordinary SharesF1 | Jun 1, 2015 | M | 19,500 | $33.67 | A | 69,099 | D | |
| Ordinary Shares | Jun 1, 2015 | S | 18,983 | $128.50 | D | 50,116 | D | |
| Ordinary SharesF2 | Jun 2, 2015 | S | 2,123 | $129.29 | D | 47,993 | D | |
| Ordinary SharesF3 | Jun 2, 2015 | S | 1,000 | $130.02 | D | 46,993 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Share Options (Right to Buy) | $34.50 | Jun 1, 2015 | M | 3,166 | D | Dec 1, 2013 | Nov 30, 2019 | Ordinary Shares | 3,166 | 0 | D |
| Share Options (Right to Buy) | $31.12 | Jun 1, 2015 | M | 14,951 | D | Jun 28, 2013 | Nov 30, 2020 | Ordinary Shares | 14,951 | 0 | D |
| Share Options (Right to Buy) | $33.67 | Jun 1, 2015 | M | 19,500 | D | Jun 28, 2013 | Nov 30, 2021 | Ordinary Shares | 19,500 | 22,662 | D |
Explanation of responses
- F1Includes 109 shares acquired under the Mallinckrodt employee stock purchase plan since February 3, 2015.
- F2The price represents a weighted average. The shares were sold in multiple transactions at prices ranging from $128.80 to $129.3030, inclusive. Mr. Harbaugh will provide, upon request of the SEC staff, Mallinckrodt plc or a shareholder of Mallinckrodt plc complete information regarding the number of shares sold at each price within the range.
- F3The price represents a weighted average. The shares were sold in multiple transactions at prices ranging from $130.01 to $130.06, inclusive. Mr. Harbaugh will provide, upon request of the SEC staff, Mallinckrodt plc or a shareholder of Mallinckrodt plc complete information regarding the number of shares sold at each price within the range.