SEC Form 4 · accession 0001140361-17-045112
Corium International, Inc. · CORI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peter D Staple
Officer — President & CEO · Director
Period of report
Dec 1, 2017
Accepted (ET)
Dec 5, 2017 · 7:47 pm EST
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 | holding | — | — | — | 147,000 | D | ||
| Common Stock | holding | — | — | — | 34,878 | I | By the Staple Family 2006 Trust |
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)F2 | $11.59 | Dec 1, 2017 | A | 187,500 | A | — | Nov 30, 2027 | Common Stock | 187,500 | 187,500 | D |
| Restricted Stock UnitsF3,F4 | — | Dec 1, 2017 | A | 31,250 | A | — | — | Common Stock | 31,250 | 31,250 | D |
Explanation of responses
- F1Includes 1,000 shares acquired under the Issuer's employee stock purchase plan on November 17, 2017.
- F2The option vests as to 1/48th of the total number of shares on January 1, 2018 and then 1/48th monthly thereafter.
- F3Each restricted stock unit ("RSUs") represents the contingent right to receive one share of the issuer's common stock upon settlement.
- F4The RSUs vest as to 1/4 of the total number of shares on December 1, 2018 and then 1/4 of the total number of shares on December 1 of each successive year thereafter.