SEC Form 4 · accession 0001679513-17-000002
Patheon N.V. · PTHN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lukas Utiger
Officer — President, Drug Substance
Period of report
Mar 23, 2017
Accepted (ET)
Mar 27, 2017 · 3:00 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001643848
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Restricted Stock Units (Ordinary Shares)F1 | Mar 23, 2017 | A | 12,420 | $0.00 | A | 204,192 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Options (Right to Buy)F2 | $26.49 | Mar 23, 2017 | A | 32,287 | A | — | — | Options (Right to Buy) | 32,287 | 32,287 | D |
Explanation of responses
- F1The restricted stock units vest in three equal installments on each anniversary of the grant date of March 23, 2017. Each restricted stock unit represents a contingent right to receive one ordinary share.
- F2The options vest in three equal installments on each anniversary of the grant date of March 23, 2017.