Statement of Changes in Beneficial Ownership (4)
November 27 2019 - 5:15PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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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
*
INGENITO GARY |
2. Issuer Name and Ticker or Trading Symbol
CATALYST PHARMACEUTICALS, INC.
[
CPRX
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Medical Officer |
(Last)
(First)
(Middle)
355 ALHAMBRA CIRCLE, SUITE 1250 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/27/2019 |
(Street)
CORAL GABLES, FL 33134
(City)
(State)
(Zip)
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4. 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 Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common stock, par value $0.001 per share | 11/27/2019 | | M | | 100000 | A | $1.13 | 100000 | D | |
Common stock, par value $0.001 per share | 11/27/2019 | | S | | 100000 (1) | D | $4.66 | 0 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Options to purchase common stock | $1.13 | 11/27/2019 | | M | | 100000 | | (2) | 1/3/2024 | Common Stock | 100000 | $0 | 860000 | D | |
Explanation of Responses: |
(1) | Mr. Ingenito has advised the Company that his sale of shares was to raise funds for the purchase of a home by a family member and does not relate to any disagreements with the Company on any matter relating to the Company's operations, policies and practices. Mr. Ingenito remains an officer of the Company. |
(2) | The option was granted on January 3, 2017 and previously vested in two equal annual installments. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
INGENITO GARY 355 ALHAMBRA CIRCLE, SUITE 1250 CORAL GABLES, FL 33134 |
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| Chief Medical Officer |
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Signatures
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/s/ Gary Ingenito | | 11/27/2019 |
**Signature of Reporting Person | Date |
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