Initial Statement of Beneficial Ownership (3)
January 06 2017 - 5:20PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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Rolke James
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2. Date of Event Requiring Statement (MM/DD/YYYY)
1/1/2017
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3. Issuer Name
and
Ticker or Trading Symbol
LA JOLLA PHARMACEUTICAL CO [LJPC]
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(Last)
(First)
(Middle)
C/O LA JOLLA PHARMACEUTICAL COMPANY, 10182 TELESIS COURT, 6TH FLOOR
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
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X
___ Officer (give title below)
_____ Other (specify below)
Chief Scientific Officer /
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(Street)
SAN DIEGO, CA 92121
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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73328
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Stock Option (Right to Buy)
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(1)
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4/3/2024
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Common Stock
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21800
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$10.83
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D
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Stock Option (Right to Buy)
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(2)
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2/23/2025
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Common Stock
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23500
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$19.69
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D
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Stock Option (Right to Buy)
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(3)
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12/21/2025
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Common Stock
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34000
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$28.24
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D
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Explanation of Responses:
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(
1)
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This option represents a right to purchase a total of 21,800 shares of the Issuer's Common Stock one quarter of which shall be fully vested and exercisable on April 3, 2015, with the remaining 16,350 shares vesting quarterly thereafter over the next three years.
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(
2)
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This option represents a right to purchase a total of 23,500 shares of the Issuer's Common Stock one quarter of which shall be fully vested and exercisable on February 23, 2016, with the remaining 17,625 shares vesting monthly thereafter over the next three years.
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(
3)
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This option represents a right to purchase a total of 34,000 shares of the Issuer's Common Stock one quarter of which shall be fully vested and exercisable on December 21, 2016, with the remaining 25,500 shares vesting monthly thereafter over the next three years.
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Remarks:
Exhibit List: Exhibit 24 - Power of Attorney.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Rolke James
C/O LA JOLLA PHARMACEUTICAL COMPANY
10182 TELESIS COURT, 6TH FLOOR
SAN DIEGO, CA 92121
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Chief Scientific Officer
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Signatures
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/s/ Ryan Murr, as attorney-in-fact for James Rolke
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1/6/2017
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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