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4/A//SEC Filing

CERRONE GABRIEL 4/A

Accession 0001104659-13-003959

CIK 0001347613other

View on SEC.gov Company Profile

Filed

Jan 21, 7:00 PM ET

Accepted

Jan 22, 9:29 PM ET

Size

22.0 KB

Accession

0001104659-13-003959

Insider Transaction Report

Form 4/AAmended

Period: 2013-01-17

SYNERGY PHARMACEUTICALS, INC.SGYP

CERRONE GABRIEL

Director

Transactions

Award
Stock Options
2013-01-17+46,954→ 2,832,666 total
Exercise: $7.23From: 2003-04-22Exp: 2013-04-22→ Common Stock (46,954 underlying)
Award
Stock Options
2013-01-17+13,493→ 2,859,122 total
Exercise: $8.34Exp: 2013-06-13→ Common Stock (13,493 underlying)
Award
Stock Options
2013-01-17+67,463→ 2,944,575 total
Exercise: $9.45Exp: 2015-01-10→ Common Stock (67,463 underlying)
Award
Common Stock
2013-01-17+393,023→ 836,783 total(indirect: By Panetta Partners, Ltd.)
Award
Stock Options
2013-01-17+40,478→ 2,985,053 total
Exercise: $5.34Exp: 2017-01-25→ Common Stock (40,478 underlying)
Award
Stock Options
2013-01-17+70,161→ 3,055,214 total
Exercise: $1.45Exp: 2020-01-25→ Common Stock (70,161 underlying)
Award
Stock Options
2013-01-17+12,963→ 2,845,629 total
Exercise: $7.23From: 2003-04-22Exp: 2013-04-22→ Common Stock (12,963 underlying)
Award
Stock Options
2013-01-17+17,990→ 2,877,112 total
Exercise: $17.79From: 2004-04-26Exp: 2014-04-26→ Common Stock (17,990 underlying)

Holdings

Common Stock
187,470

Footnotes (6)

[F1]Pursuant to the Agreement and Plan of Merger, dated as of July 20, 2012, as amended October 15, 2012, by and between Synergy Pharmaceuticals Inc ("Synergy") and Callisto Pharmaceuticals, Inc. ("Callisto"), Callisto merged with and into Synergy (the "Merger"). Upon the effective time of the Merger, each share of Callisto common stock was cancelled and exchanged for .1799 shares of Synergy common stock (the "Exchange Ratio"). Each stock option exercisable for shares of Callisto common stock that is outstanding at the effective time of the Merger was assumed by Synergy and converted into a stock option to purchase the number of shares of Synergy's common stock that the holder would have received if such holder had exercised such stock option for shares of Callisto common stock prior to the Merger and exchanged such shares for Synergy common stock in accordance with the Exchange Ratio.
[F2]Mr. Cerrone is the sole director of Panetta Partners Ltd. and in such capacity exercise voting and dispositive control over securities owned by Panetta Partners Ltd. despite him having only a small pecuniary interest in such securities.
[F3]4,497 options vested on each of July 1, 2004, 2005 and 2006, respectively.
[F4]33,731 options vested on each of December 27, 2005 and 2006, respectively.
[F5]13,493 options vested on each of December 31, 2007, 2008 and 2009, respectively.
[F6]23,387 options vested on each of January 25, 2011 and 2012, respectively and 23,387 will vest on January 25, 2013.

Documents

1 file

4
a4a.xml
4/A

Issuer

SYNERGY PHARMACEUTICALS, INC.

CIK 0001347613

Entity typeother

Related Parties

1

filerCIK 0001253803

Filing Metadata

Form type: 4/A
Filed: Jan 21, 7:00 PM ET
Accepted: Jan 22, 9:29 PM ET
Size: 22.0 KB

View on SEC.gov