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HARROW, INC. — Director's Dealing 2016
Apr 27, 2016
31774_dirs_2016-04-26_c5b750fe-6900-4e33-8796-650a4b12aad4.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: 2016-04-25
Reporting Person: BAUM MARK L (Director, Chief Executive Officer)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2016-04-25 | Executive RSU | $0 | A | 1050000 | Acquired | 2021-04-25 | Common Stock (1050000) | Direct |
| 2016-04-25 | Executive RSU | $0 | D | 1050000 | Disposed | 2016-04-25 | Common Stock (1050000) | Direct |
Footnotes
F1: Represents performance-based restricted stock units (the "RSUs") granted under the Issuer's 2007 Stock Incentive and Awards Plan (the "Plan"). The RSUs settle in one share of common stock for each RSU on the fifth anniversary of the grant date and provide for accelerated vesting based on pre-determined stock-price based performance targets during the term of the RSUs.
F2: Represents RSUs granted under the Plan to Mr. Baum on May 2, 2013, which were forfeited by Mr. Baum on April 25, 2016, with the approval of the board of directors of the Issuer, upon issuance of the new RSUs indicated in footnote 1.