KEMPHARM, INC 4
4 · KEMPHARM, INC · Filed Apr 21, 2015
Insider Transaction Report
Form 4
KEMPHARM, INCKMPH
Thompson Danny L
Director
Transactions
- Conversion
Common Stock
2015-04-21+7,373→ 7,373 total - Conversion
Series A Convertible Preferred Stock
2015-04-21−269,959→ 0 total(indirect: By Garrett Bancshares, LTD)→ Common Stock (35,994 underlying) - Conversion
Series C Convertible Preferred Stock
2015-04-21−12,820→ 0 total→ Common Stock (1,709 underlying) - Conversion
Series C Convertible Preferred Stock
2015-04-21−256,410→ 0 total(indirect: By Garrett Bancshares, LTD)→ Common Stock (34,188 underlying) - Conversion
Series A Convertible Preferred Stock
2015-04-21−26,355→ 0 total→ Common Stock (3,514 underlying) - Conversion
Series B Convertible Preferred Stock
2015-04-21−161,290→ 0 total(indirect: By Garrett Bancshares, LTD)→ Common Stock (21,505 underlying) - Conversion
Common Stock
2015-04-21+91,687→ 91,687 total(indirect: By Garrett Bancshares, LTD) - Conversion
Series B Convertible Preferred Stock
2015-04-21−16,129→ 0 total→ Common Stock (2,150 underlying)
Footnotes (3)
- [F1]The total represents shares received upon conversion of Series A, Series B and Series C convertible preferred stock.
- [F2]Effective upon the closing of the Issuer's initial public offering of its common stock, each share of Series A, Series B and Series C convertible preferred stock automatically converted into 0.13333 shares of common stock. The convertible preferred stock had no expiration date.
- [F3]The Reporting Person is the Vice-President of Garrett Bancshares, LTD and may be deemed to have shared voting and dispositive power over, and be deemed to be indirect beneficial owner of, the shares directly held by Garrett Bancshares, LTD.