Filing Details
- Accession Number:
- 0001140361-13-038993
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-10-17 17:27:06
- Reporting Period:
- 2013-10-15
- Filing Date:
- 2013-10-17
- Accepted Time:
- 2013-10-17 17:27:06
- 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 | 2013-10-15 | 14,140 | $2.83 | 713,510 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2013-10-15 | 860 | $2.02 | 714,370 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2013-10-15 | 5,000 | $2.97 | 719,370 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2013-10-15 | 5,000 | $3.54 | 724,370 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-10-15 | 25,000 | $13.77 | 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 | 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 | 2013-10-15 | 14,140 | $0.00 | 14,140 | $2.83 |
| Common Stock | Stock options (right to buy) | Disposition | 2013-10-15 | 860 | $0.00 | 860 | $2.02 |
| Common Stock | Stock options (right to buy) | Disposition | 2013-10-15 | 5,000 | $0.00 | 5,000 | $2.97 |
| Common Stock | Stock options (right to buy) | Disposition | 2013-10-15 | 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 |
|---|---|---|---|---|---|---|
| 0 | 2006-11-26 | 2016-05-25 | No | 4 | M | Direct |
| 21,338 | 2010-03-09 | 2020-03-08 | No | 4 | M | Direct |
| 3,972 | 2011-03-01 | 2020-10-11 | No | 4 | M | Direct |
| 315,021 | 2010-11-22 | 2020-11-21 | No | 4 | M | Direct |
Footnotes
- Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on August 13, 2013.
- This transaction was executed in multiple trades at prices ranging from $13.65 to $13.98. 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.
- Fully vested and exercisable.
- Stock options vest starting on September 1, 2010, 6/48ths on March 1, 2011 and 1/48th per month thereafter.
- Stock option vests 25% immediately and 75% pro rata over 36 months.
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