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HARROW, INC. — Director's Dealing 2016
Dec 21, 2016
31774_dirs_2016-12-21_0155ed26-faf3-473d-a8fc-3c5780c2489d.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Imprimis Pharmaceuticals, Inc. (IMMY)
CIK: 0001360214
Period of Report: 2016-12-19
Reporting Person: BAUM MARK L (Director, Chief Executive Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-12-19 | Common Stock | P | 156000 | $1.79 | Acquired | 325835 | Direct |
| 2016-12-19 | Common Stock | M | 200000 | $1.72 | Acquired | 525835 | Direct |
| 2016-12-19 | Common Stock | D | 83709 | $1.72 | Disposed | 442126 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2016-12-19 | Purchase Warrant | $1.79 | P | 156000 | Acquired | 2019-12-23 | Common Stock (156000) | Direct |
| 2016-12-19 | Restricted Stock Unit | $0 | M | 200000 | Disposed | Common Stock (200000) | Direct |
Footnotes
F1: On December 19, 2016, the Beadore Trust dated March 20, 2015, through which Mr. Baum has voting and investment control over the securities, entered into a definitive agreement to acquire 156,000 Units of Imprimis Pharmaceuticals, Inc.'s (the "Company"), with each Unit consisting of one share of common stock, and a warrant to purchase one share of the Company's common stock, as part of a private placement by the Company to accredited investors.
F2: On December 19, 2016, restricted stock units granted to Mr. Baum on May 2, 2013, and previously vested, were issued and then transferred into the Beadore Trust dated March 20, 2015. 83,709 shares of common stock were withheld from issuance to Mr. Baum for payroll tax purposes.
F3: The value of the Purchase Warrant included in each Unit is $0.125.