SEC Form 4 · accession 0001140361-17-032755
Corium International, Inc. · CORI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Timothy D Sweemer
Officer — Chief Accounting Officer
Period of report
Aug 16, 2017
Accepted (ET)
Aug 18, 2017 · 7:40 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001594337
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Aug 16, 2017 | M | 37,623 | $2.222 | A | 42,529 | D | |
| Common Stock | Aug 16, 2017 | M | 17,326 | $2.121 | A | 59,855 | D | |
| Common StockF2 | Aug 16, 2017 | S | 15,488 | $7.8226 | D | 44,367 | D | |
| Common StockF3 | Aug 17, 2017 | S | 12,012 | $7.6198 | D | 32,355 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F4 | $2.222 | Aug 16, 2017 | M | 37,623 | D | — | Nov 11, 2017 | Common Stock | 37,623 | 0 | D |
| Employee Stock Option (Right to Buy)F4 | $2.121 | Aug 16, 2017 | M | 17,326 | D | — | Feb 11, 2018 | Common Stock | 17,326 | 0 | D |
Explanation of responses
- F1Includes 761 shares acquired under the Issuer's employee stock purchase plan on May 19, 2017.
- F2The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.70 to $8.05 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 written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F3The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.51 to $8.03 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 written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F4This option is fully vested.