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AMARIN CORP PLC\UK — Director's Dealing 2018
Sep 26, 2018
33214_dirs_2018-09-26_6d95e9b2-f5d0-4cd8-96e4-8be7e03780b4.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: AMARIN CORP PLC\UK (AMRN)
CIK: 0000897448
Period of Report: 2018-09-24
Reporting Person: Ketchum Steven B (Chief Scientific Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2018-09-24 | Ordinary Shares | M | 20834 | $1.40 | Acquired | 421307 | Direct |
| 2018-09-24 | Ordinary Shares | M | 158334 | $2.50 | Acquired | 579641 | Direct |
| 2018-09-24 | Ordinary Shares | M | 112500 | $2.50 | Acquired | 692141 | Direct |
| 2018-09-24 | Ordinary Shares | M | 142500 | $2.50 | Acquired | 834641 | Direct |
| 2018-09-24 | Ordinary Shares | M | 52147 | $2.95 | Acquired | 886788 | Direct |
| 2018-09-24 | Ordinary Shares | M | 33750 | $8.10 | Acquired | 920538 | Direct |
| 2018-09-24 | Ordinary Shares | M | 100000 | $8.77 | Acquired | 1020538 | Direct |
| 2018-09-24 | Ordinary Shares | S | 529791 | $10.0401 | Disposed | 490747 | Direct |
| 2018-09-24 | Ordinary Shares | S | 49450 | $10.9377 | Disposed | 441297 | Direct |
| 2018-09-24 | Ordinary Shares | S | 100000 | $12.00 | Disposed | 341297 | Direct |
| 2018-09-25 | Ordinary Shares | M | 200000 | $8.77 | Acquired | 541297 | Direct |
| 2018-09-25 | Ordinary Shares | S | 100000 | $13.00 | Disposed | 441297 | Direct |
| 2018-09-25 | Ordinary Shares | S | 100000 | $14.00 | Disposed | 341297 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2018-09-24 | Stock Option (Right to Buy) | $1.40 | M | 20834 | Disposed | 2026-01-31 | Ordinary Shares (20834) | Direct |
| 2018-09-24 | Stock Option (Right to Buy) | $2.50 | M | 158334 | Disposed | 2025-07-06 | Ordinary Shares (158334) | Direct |
| 2018-09-24 | Stock Option (Right to Buy) | $2.50 | M | 112500 | Disposed | 2025-07-06 | Ordinary Shares (112500) | Direct |
| 2018-09-24 | Stock Option (Right to Buy) | $2.50 | M | 142500 | Disposed | 2025-07-06 | Ordinary Shares (142500) | Direct |
| 2018-09-24 | Stock Option (Right to Buy) | $2.95 | M | 52147 | Disposed | 2027-01-31 | Ordinary Shares (52147) | Direct |
| 2018-09-24 | Stock Option (Right to Buy) | $8.10 | M | 33750 | Disposed | 2023-01-02 | Ordinary Shares (33750) | Direct |
| 2018-09-24 | Stock Option (Right to Buy) | $8.77 | M | 100000 | Disposed | 2022-03-01 | Ordinary Shares (100000) | Direct |
| 2018-09-25 | Stock Option (Right to Buy) | $8.77 | M | 200000 | Disposed | 2022-03-01 | Ordinary Shares (200000) | Direct |
Footnotes
F1: The option exercises and sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.
F2: The Ordinary Shares may be represented by American Depositary Shares, each of which currently represents one Ordinary Share.
F3: Please see the section titled "Remarks" below for additional information.
F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.55 to $10.54, 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 request, full information regarding the number of shares sold at each separate price within the range.
F5: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.57 to $11.09, 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 request, full information regarding the number of shares sold at each separate price within the range.
F6: On February 1, 2016, the Reporting Person was granted an option to purchase 125,000 Ordinary Shares under the Amarin Corporation plc 2011 Stock Incentive Plan (the "Plan"). The shares subject to this option shall vest and become exercisable in 48 equal monthly installments on the last day of each month that began on February 29, 2016.
F7: On July 6, 2015, the Reporting Person was granted an option to purchase 200,000 Ordinary Shares under the Plan. The shares subject to this option shall vest and become exercisable in 48 equal monthly installments on the last day of each month that began on July 31, 2015.
F8: On July 6, 2015, the Reporting Person was granted an option to purchase 180,000 Ordinary Shares under the Plan. The vesting of the shares is subject to certain performance milestone that was previously achieved. The shares subject to this option shall vest and become exercisable in 48 equal monthly installments on the last day of each month that began on July 31, 2015.
F9: On February 1, 2017, the Reporting Person was granted an option to purchase 133,000 Ordinary Shares under the Plan. The shares subject to this option shall vest and become exercisable in 48 equal monthly installments on the last day of each month that began on February 28, 2017.
F10: The option granted to the Reporting Person is fully vested as of the date hereof.