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Amphastar Pharmaceuticals, Inc. — Director's Dealing 2017
Dec 20, 2017
10216_dirs_2017-12-19_a027d493-115f-4873-80aa-0020e349da15.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Amphastar Pharmaceuticals, Inc. (AMPH)
CIK: 0001297184
Period of Report: 2017-12-15
Reporting Person: Zhang Jack Y. (Director, CEO & Chief Scientific Officer, 10% Owner)
Reporting Person: Luo Mary Z. (Director, COO, Chief Scientist/Chairman, 10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-12-15 | Common Stock | M | 639584 | $12.023 | Acquired | 2537431 | Direct |
| 2017-12-15 | Common Stock | F | 524266 | $19.30 | Disposed | 2013165 | Direct |
| 2017-12-15 | Common Stock | M | 373091 | $12.023 | Acquired | 1636469 | Indirect |
| 2017-12-15 | Common Stock | F | 305823 | $19.30 | Disposed | 1330646 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-12-15 | Employee Stock Option (right to buy) | $12.023 | M | 639584 | Disposed | 2018-07-05 | Common Stock (639584) | Direct |
| 2017-12-15 | Employee Stock Option (right to buy) | $12.023 | M | 373091 | Disposed | 2018-07-05 | Common Stock (373091) | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 7461594 | Indirect |
| Common Stock | 5000 | Indirect |
| Common Stock | 200000 | Indirect |
Footnotes
F1: The securities are held of record by Mary Z. Luo. The reporting persons are husband and wife.
F2: The shares are held of record by APCL, of which the reporting persons are the sole owners.
F3: The shares are held of record in an account for the benefit of the reporting persons' son. The reporting persons disclaim beneficial ownership of these shares, and the inclusion of these shares in this report should not be deemed an admission of beneficial ownership of any such shares for purposes of Section 16, or for any other purpose.
F4: The shares are held of record by a trust for the benefit of the reporting persons' son. The reporting persons disclaim beneficial ownership of these shares, and the inclusion of these shares in this report should not be deemed an admission of beneficial ownership of any such shares for purposes of Section 16, or for any other purpose.
F5: Shares subject to the option are fully vested and immediately exercisable.