KEMPHARM, INC 4
4 · KEMPHARM, INC · Filed Feb 12, 2016
Insider Transaction Report
Form 4
KEMPHARM, INCKMPH
Plooster Matthew R
Director
Transactions
- Exercise of In-Money
Common Stock
2016-02-10$3.90/sh+3,572$13,931→ 8,117 total - Exercise of In-Money
Common Stock
2016-02-10$5.85/sh+51$298→ 8,168 total - Exercise of In-Money
Warrant to Purchase Common Stock (right to buy)
2016-02-10−3,572→ 0 totalExercise: $3.90Exp: 2016-03-23→ Common Stock (3,572 underlying) - Exercise of In-Money
Warrant to Purchase Common Stock (right to buy)
2016-02-10−51→ 0 totalExercise: $5.85→ Common Stock (51 underlying)
Holdings
- 1,117(indirect: By Trust)
Common Stock
- 428,304(indirect: By Bridgepoint Investment Partners I LLLP)
Common Stock
Footnotes (3)
- [F1]The shares directly held by Bridgepoint Investment Partners I LLLP, or Bridgepoint, are indirectly held by its general partner, Bridgepoint Capital Partners, LLP, or BPCP. The individual managers of BPCP are Matthew R. Plooster and Adam S. Claypool. Matthew R. Plooster and Adam S. Claypool share voting and dispositive power with regard to the shares directly held by Bridgepoint.
- [F2]Immediately exercisable.
- [F3]The warrant expires as of 5:00 p.m. C.S.T. on the earliest of (i) June 2, 2019 and (ii) the effective date of the closing of a Company Sale Transaction (as such term is defined in the warrant)