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AMARIN CORP PLC\UK — Director's Dealing 2021
Feb 3, 2021
33214_dirs_2021-02-03_3c7f783b-d323-401a-9bcd-46f7dd05f92a.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: 2021-02-01
Reporting Person: Ketchum Steven B (N/A)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-02-01 | Ordinary Shares | M | 16703.00 | $2.50 | Acquired | 425069.00 | Direct |
| 2021-02-01 | Ordinary Shares | M | 164573.00 | $2.50 | Acquired | 589642.00 | Direct |
| 2021-02-01 | Ordinary Shares | M | 11082.00 | $2.95 | Acquired | 600724.00 | Direct |
| 2021-02-01 | Ordinary Shares | S | 192358.00 | $8.0603 | Disposed | 408366.00 | Direct |
| 2021-02-01 | Ordinary Shares | S | 25370.00 | $8.028 | Disposed | 382996.00 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-02-01 | Stock Option (Right to Buy) | $2.50 | M | 16703.00 | Disposed | 2025-07-06 | Ordinary Shares (16703.00) | Direct |
| 2021-02-01 | Stock Option (Right to Buy) | $2.50 | M | 164573.00 | Disposed | 2025-07-06 | Ordinary Shares (164573.00) | Direct |
| 2021-02-01 | Stock Option (Right to Buy) | $2.95 | M | 11082.00 | Disposed | 2027-01-31 | Ordinary Shares (11082.00) | Direct |
Footnotes
F1: Multiple reportable transactions are reported in the Form 4 including exercises of previously granted stock options and sale of certain shares. The market sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan previously 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: 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 was subject to a certain performance milestone that was previously achieved. The shares subject to this option vested in 48 equal monthly installments on the last day of each month starting on July 31, 2015. This option was fully vested as of the date hereof.
F4: On July 6, 2015, the Reporting Person was granted an option to purchase 240,000 Ordinary Shares under the Plan. The vesting of the shares was subject to a certain performance milestone that was previously achieved. The shares subject to this option vested in 48 equal monthly installments on the last day of each month starting on July 31, 2015. This option was fully vested as of the date hereof.
F5: 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 vested in 48 equal monthly installments on the last day of each month starting on February 28, 2017. This option was fully vested as of the date hereof.
F6: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.00 to $8.29, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff at the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.
F7: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.00 to $8.20, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff at the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.
F8: Please see the section titled "Remarks" below for additional information.