SEC Form 4 · accession 0001209191-15-069536
MANNKIND CORP · MNKD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Matthew J Pfeffer
Officer — Corporate VP and CFO
Period of report
Aug 27, 2015
Accepted (ET)
Sep 3, 2015 · 6:19 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000899460
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, $.01 Par Value | Aug 16, 2015 | F | 1,598 | $4.09 | D | 360,252 | D | |
| Common Stock, $.01 Par Value | Aug 18, 2015 | F | 1,598 | $4.15 | D | 358,654 | D | |
| Common Stock, $.01 Par Value | Aug 21, 2015 | F | 912 | $3.79 | D | 357,742 | D | |
| Common Stock, $.01 Par Value | Aug 22, 2015 | F | 846 | $3.79 | D | 356,896 | D | |
| Common Stock, $.01 Par Value | Aug 27, 2015 | A | 16,100 | $0.00 | A | 372,996 | 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) | $3.91 | Aug 27, 2015 | A | 72,300 | A | Aug 27, 2016 | Aug 26, 2025 | Stock Options | 72,300 | 72,300 | D |
Explanation of responses
- F1Shares withheld to satisfy the tax liability incident to the vesting of previously reported restricted stock units.
- F2Acquired pursuant to a Restricted Stock Unit Award: 25% vest on each year anniversary of the vesting determination date and 25% each anniversary thereafter; shares shall fully vest on the fourth year anniversary of the vesting determination date.
- F325% vesting on the anniversary of the vesting determination date and 1/48th per month thereafter; being fully vested on the fourth anniversary of the vesting determination date.