Filing Details

Accession Number:
0001140361-13-036320
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-09-18 17:43:02
Reporting Period:
2013-09-16
Filing Date:
2013-09-18
Accepted Time:
2013-09-18 17:43:02
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1070698 Raptor Pharmaceutical Corp RPTP Pharmaceutical Preparations (2834) 860883978
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1235470 M Christopher Starr C/O Raptor Pharmaceutical Corp.
5 Hamilton Landing, Suite 160
Novato CA 94949
Chief Executive Officer Yes Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2013-09-16 5,000 $2.97 704,370 No 4 M Direct
Common Stock Acquisiton 2013-09-16 15,000 $2.83 719,370 No 4 M Direct
Common Stock Acquisiton 2013-09-16 5,000 $3.54 724,370 No 4 M Direct
Common Stock Disposition 2013-09-16 25,000 $14.21 699,370 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 M Direct
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Stock options (right to buy) Disposition 2013-09-16 5,000 $0.00 5,000 $2.97
Common Stock Stock options (right to buy) Disposition 2013-09-16 15,000 $0.00 15,000 $2.83
Common Stock Stock options (right to buy) Disposition 2013-09-16 5,000 $0.00 5,000 $3.54
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
167,524 2011-03-01 2020-10-11 No 4 M Direct
14,140 2006-11-26 2016-05-25 No 4 M Direct
340,054 2010-11-22 2020-11-21 No 4 M Direct
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Stock options (right to buy) $2.02 2010-03-09 2020-03-08 46,750 35,548 Direct
Common Stock Stock options (right to buy) $5.13 2012-03-22 2021-09-21 460,064 460,064 Direct
Common Stock Stock options (right to buy) $5.49 2013-03-25 2022-09-24 150,000 150,000 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2020-03-08 46,750 35,548 Direct
2021-09-21 460,064 460,064 Direct
2022-09-24 150,000 150,000 Direct
Footnotes
  1. Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on August 13, 2013.
  2. This transaction was executed in multiple trades at prices ranging from $13.98 to $14.36. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide, upon request, to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
  3. Stock options vest 6/48ths on the six month anniversary of grant date and 1/48th per month thereafter.
  4. Fully vested and exercisable.
  5. Options vest 6/36ths on the six month anniversary of grant date and 1/36th per month thereafter.
  6. Stock options vest starting on September 1, 2010, 6/48ths on March 1, 2011 and 1/48th per month thereafter.
  7. Stock option vests 25% immediately and 75% pro rata over 36 months.
  8. Options vest 6/48ths immediately and 1/48th per month thereafter.
  9. The shares listed as owned in column 9 represent the total shares for each respective option. Previous reports reflected aggregate amounts of option shares in column 9. The holding lines included on this Form 4 are included solely to correct the breakdown of shares among various stock options and are not meant to reflect any change in beneficial ownership of option shares other than those reported as a transaction on this Form 4.