Statement of Changes in Beneficial Ownership (4)
July 22 2020 - 6:28PM
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
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Liawatidewi Yakob |
2. Issuer Name and Ticker or Trading Symbol
Amphastar Pharmaceuticals, Inc.
[
AMPH
]
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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) EVP Corp Admin Center |
(Last)
(First)
(Middle)
C/O AMPHASTAR PHARMACEUTICALS, INC., 11570 6TH STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
7/20/2020 |
(Street)
RANCHO CUCAMONGA, CA 91730
(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 | 7/20/2020 | | M | | 4186 | A | $11.33 | 50182 | D | |
Common Stock | 7/20/2020 | | S(1) | | 4186 | D | $21.0336 (2) | 45996 | D | |
Common Stock | 7/21/2020 | | M | | 5978 | A | $11.33 | 51974 | D | |
Common Stock | 7/21/2020 | | S(1) | | 5978 | D | $21.2173 (3) | 45996 | D | |
Common Stock | | | | | | | | 2459 | I | See footnote (4) |
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) | $11.33 | 7/20/2020 | | M | | | 4186 | (5) | 3/17/2026 | Common Stock | 4186 | $0 | 25615 | D | |
Employee Stock Option (right to buy) | $11.33 | 7/21/2020 | | M | | | 5978 | (5) | 3/17/2026 | Common Stock | 5978 | $0 | 19637 | D | |
Explanation of Responses: |
(1) | The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 15, 2020. |
(2) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.00 to $21.19 inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (2) through (3) to this Form 4. |
(3) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.05 to $21.25, inclusive. |
(4) | The reported shares are held of record by the Yakob and Sunmoon Trust dated July 25, 2013 for which the reporting person serves as a trustee. |
(5) | Shares subject to the option vest in four equal annual installments beginning on March 17, 2017. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Liawatidewi Yakob C/O AMPHASTAR PHARMACEUTICALS, INC. 11570 6TH STREET RANCHO CUCAMONGA, CA 91730 |
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| EVP Corp Admin Center |
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Signatures
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/s/ Eva Wen, by power of attorney | | 7/22/2020 |
**Signature of Reporting Person | Date |
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