Statement of Changes in Beneficial Ownership (4)
May 14 2015 - 7:49PM
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).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
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
*
Went Gregory T
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2. Issuer Name
and
Ticker or Trading Symbol
Adamas Pharmaceuticals Inc
[
ADMS
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
__
X
__ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Chief Executive Officer
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(Last)
(First)
(Middle)
C/O ADAMAS PHARMACEUTICALS, INC., 1900 POWELL ST., SUITE 750
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3. Date of Earliest Transaction
(MM/DD/YYYY)
5/12/2015
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(Street)
EMERYVILLE, CA 94608
(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
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5/12/2015
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M
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500
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A
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$1.875
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20508
(1)
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D
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Common Stock
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5/12/2015
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S
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500
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D
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$18.006
(2)
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20008
(1)
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D
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Common Stock
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5/12/2015
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S
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1800
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D
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$18.00
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391092
(1)
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I
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Gregory T Went & Marjorie S Went ttees Went Family Living Trust dtd 03/24/11
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Common Stock
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5/13/2015
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M
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10028
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A
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$1.875
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30036
(1)
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D
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Common Stock
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5/13/2015
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S
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28
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D
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$18.00
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30008
(1)
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D
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Common Stock
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5/13/2015
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S
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100
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D
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$18.00
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390992
(1)
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I
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Gregory T Went & Marjorie S Went ttees Went Family Living Trust dtd 03/24/11
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Common Stock
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5/14/2015
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M
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100
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A
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$1.875
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30108
(1)
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D
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Common Stock
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5/14/2015
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S
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100
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D
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$18.00
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30008
(1)
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D
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Common Stock
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5/14/2015
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S
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200
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D
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$18.00
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390792
(1)
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I
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Gregory T Went & Marjorie S Went ttees Went Family Living Trust dtd 03/24/11
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Common Stock
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6666
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I
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Gregory T Went Cust - Bridget Went Under CA Uniform Transfers to Minors Act
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Common Stock
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6666
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I
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Gregory T Went Cust - Cora Went Under CA Uniform Transfers to Minors Act
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Common Stock
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80000
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I
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Gregory T Went & Marjorie S Went ttees 2012 Irr Trust FBO Bridget Elise Went
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Common Stock
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80000
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I
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Gregory T Went & Marjorie S Went ttees 2012 Irr Trust FBO Cora Margaret Went
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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)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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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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$1.875
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5/12/2015
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M
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500
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(3)
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9/12/2016
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Common Stock
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500
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$0.00
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225028
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D
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Stock Option (Right to Buy)
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$1.875
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5/13/2015
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M
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10028
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(3)
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9/12/2016
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Common Stock
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10028
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$0.00
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215000
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D
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Stock Option (Right to Buy)
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$1.875
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5/14/2015
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M
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100
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(3)
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9/12/2016
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Common Stock
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100
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$0.00
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214900
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D
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Explanation of Responses:
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(
1)
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The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.
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(
2)
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This transaction was executed in multiple trades at prices ranging from $18.00 to $18.01. 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.
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(
3)
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This option is fully vested and exercisable.
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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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Went Gregory T
C/O ADAMAS PHARMACEUTICALS, INC.
1900 POWELL ST., SUITE 750
EMERYVILLE, CA 94608
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X
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X
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Chief Executive Officer
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Signatures
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/s/Grace Shin, as Attorney-in-Fact
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5/14/2015
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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 4(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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