Statement of Changes in Beneficial Ownership (4)
February 28 2020 - 6:33AM
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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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
*
Castagna Michael |
2. Issuer Name and Ticker or Trading Symbol
MANNKIND CORP
[
MNKD
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Executive Officer |
(Last)
(First)
(Middle)
30930 RUSSELL RANCH ROAD, SUITE 300 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/25/2020 |
(Street)
WESTLAKE VILLAGE, CA 91362
(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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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 |
Employee Stock Option (right to buy) | $4.55 | 2/25/2020 | | A (1) | | 50000 | | 2/25/2020 | 5/19/2026 | Stock Options | 50000 | $4.55 | 50000 | D | |
Employee Stock Option (right to buy) | $1.52 | 2/25/2020 | | A (2) | | 57750 | | 2/25/2020 | 5/29/2027 | Stock Options | 57750 | $1.52 | 57750 | D | |
Employee Stock Option (right to buy) | $1.42 | 2/25/2020 | | A (3) | | 37525 | | 2/25/2020 | 5/25/2027 | Stock Options | 37525 | $1.42 | 37525 | D | |
Explanation of Responses: |
(1) | On May 19, 2016, the reporting person was granted an option that vests upon the achievement of certain defined performance milestones. On February 25, 2020, one of the defined performance milestones was met, resulting in the partial vesting of the option. |
(2) | On May 29, 2017, the reporting person was granted an option that vests upon the achievement of certain defined performance milestones. On February 25, 2020, one of the defined performance milestones was met, resulting in the partial vesting of the option. |
(3) | On May 25, 2017, the reporting person was granted an option that vests upon the achievement of certain defined performance milestones. On February 25, 2020, one of the defined performance milestones was met, resulting in the partial vesting of the option. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Castagna Michael 30930 RUSSELL RANCH ROAD SUITE 300 WESTLAKE VILLAGE, CA 91362 | X |
| Chief Executive Officer |
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Signatures
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/s/ Michael Castagna | | 2/25/2020 |
**Signature of Reporting Person | Date |
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