SEC Form 4 · accession 0001209191-18-004978
AMARIN CORP PLC\UK · AMRN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven B Ketchum
Officer — Chief Scientific Officer
Period of report
Jan 23, 2018
Accepted (ET)
Jan 23, 2018 · 6:00 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000897448
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Ordinary SharesF1,F2 | Jan 23, 2018 | M | 135,205 | $2.04 | A | 277,002 | D | |
| Ordinary SharesF1,F2,F3,F4 | Jan 23, 2018 | S | 135,205 | $4.4113 | D | 141,797 | D |
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)F5,F2 | $2.04 | Jan 23, 2018 | M | 135,205 | D | — | Jan 8, 2024 | Ordinary Shares | 135,205 | 0 | D |
Explanation of responses
- F1The exercise and sale transaction reported in the Form 4 is made pursuant to a Rule 10b5-1 plan.
- F2The Ordinary Shares may be represented by American Depositary Shares, each of which represents one Ordinary Share.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.40 to $4.45, inclusive. The Reporting Person has provided the Issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of Ordinary Shares sold at each separate price.
- F4Please see the section titled "Remarks" below for additional information.
- F5On January 8, 2014, the Reporting Person was granted an option to purchase 202,500 Ordinary Shares under the Amarin Corporation plc 2011 Stock Incentive Plan. The shares subject to this option are fully vested and exercisable as of the date of this Form 4.
Remarks
As of the date of this Form 4, the Reporting Person owns or holds the right to acquire an aggregate of 2,619,310 Ordinary Shares of the Issuer in the form of Ordinary Shares, and stock options and Restricted Stock Units granted under the Amarin Corporation plc 2002 Stock Option Plan and the Amarin Corporation plc 2011 Stock Incentive Plan.