Filing Details
- Accession Number:
- 0001140361-13-038309
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-10-09 17:49:31
- Reporting Period:
- 2013-10-07
- Filing Date:
- 2013-10-09
- Accepted Time:
- 2013-10-09 17:49:31
- 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 |
|---|---|---|---|---|---|---|---|
| 1198238 | B Vijay Samant | C/O Raptor Pharmaceutical Corp. 5 Hamilton Landing, Suite 160 Novato CA 94949 | Yes | No | 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 | 2013-10-07 | 5,000 | $5.13 | 5,000 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-10-07 | 5,000 | $14.76 | 0 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| 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 | 2013-10-07 | 5,000 | $0.00 | 5,000 | $5.13 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 10,000 | 2011-12-22 | 2021-09-21 | 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) | $3.33 | 2011-10-11 | 2021-04-10 | 75,000 | 75,000 | Direct |
| Common Stock | Stock options (right to buy) | $5.13 | 2012-03-22 | 2021-09-21 | 90,000 | 90,000 | Direct |
| Common Stock | Stock options (right to buy) | $5.49 | 2012-12-25 | 2022-09-24 | 50,000 | 50,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2021-04-10 | 75,000 | 75,000 | Direct |
| 2021-09-21 | 90,000 | 90,000 | Direct |
| 2022-09-24 | 50,000 | 50,000 | Direct |
Footnotes
- Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on August 9, 2013.
- Stock options vest 25% quarterly.
- Fully vested and exercisable.
- Stock options vest 6/48ths on the six month anniversary of grant date and 1/48th per month thereafter.
- This transaction was executed in multiple trades at prices ranging from $14.55 to $15.01. 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.
- 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.
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