Filing Details
- Accession Number:
- 0001104659-18-000810
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-01-04 17:08:37
- Reporting Period:
- 2018-01-02
- Accepted Time:
- 2018-01-04 17:08:37
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1410939 | Ophthotech Corp. | OPHT | Pharmaceutical Preparations (2834) | 208185347 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1696429 | Keith Westby | C/O Ophthotech Corporation One Penn Plaza, 35Th Floor New York NY 10119 | Svp & Coo | No | 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 | 2018-01-02 | 781 | $0.00 | 24,956 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-01-03 | 356 | $3.24 | 24,600 | 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 | Restricted Stock Units | Disposition | 2018-01-02 | 781 | $0.00 | 781 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 781 | 2025-01-01 | No | 4 | M | Direct |
Footnotes
- Restricted stock units converted into common stock on a one-for-one basis upon vesting of the units.
- Represents shares automatically sold pursuant to the prespecified terms of the applicable Restricted Stock Unit Agreement to satisfy the reporting person's minimum statutory withholding obligations with respect to the income recognized by the reporting person upon the vesting of the restricted stock units on January 2, 2018.
- These shares were disposed of in multiple transactions on January 3, 2018 at actual sales prices ranging from $3.24 to $3.25 per share. The price reported reflects the weighted average sale price for the transactions. The reporting person undertakes to provide upon request by the staff of the Securities Exchange Commission, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- On January 2, 2015, the reporting person was granted an award of 3,124 restricted stock units, which vests with respect to 25% of the shares subject to the award on each of the first, second, third and fourth anniversaries of the grant date, subject to continued employment with the issuer and the other terms and conditions under the issuer's 2013 Stock Incentive Plan.
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