Filing Details
- Accession Number:
- 0001140361-14-008923
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-02-20 21:37:33
- Reporting Period:
- 2014-02-18
- Filing Date:
- 2014-02-20
- Accepted Time:
- 2014-02-20 21:37:33
- 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 | 2014-02-18 | 15,000 | $2.97 | 714,370 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2014-02-18 | 10,000 | $3.54 | 724,370 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-02-18 | 25,000 | $15.26 | 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 | 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 | 2014-02-18 | 15,000 | $0.00 | 15,000 | $2.97 |
| Common Stock | Stock options (right to buy) | Disposition | 2014-02-18 | 10,000 | $0.00 | 10,000 | $3.54 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 134,289 | 2020-10-11 | No | 4 | M | Direct | |
| 295,054 | 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.
- Fully vested and exercisable.
- Stock options vest starting on September 1, 2010, 6/48ths on February 28, 2011 and 1/48th per month thereafter.
- This transaction was executed in multiple trades at prices ranging from $15.01 to $15.42. 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 represents the total shares outstanding for this option grant. The previous report reported only a portion of the grant which should have consisted of both the ISO and NQSO shares granted pursuant to the ISO $100,000 limitation rule. This total now reflects the total options outstanding under this grant. No changes have been made to the original options granted.
Billionaire Hedge Funds
