Mickle Travis C 4

4 · KEMPHARM, INC · Filed Aug 24, 2021

Form 4

Period: 2021-08-20

DirectorPresident & CEO10% Owner

Transactions

Other
Common Stock
2021-08-24−96,153→ 23,354 total
Other
Common Stock
2021-08-24+96,153→ 96,153 total(indirect: By LLC)
Other
Common Stock
2021-08-24−3,125→ 29,271 total
Other
Common Stock
2021-08-24+1,341→ 32,396 total
Other
Common Stock
2021-08-24−6,287→ 0 total
Award
Stock Option (right to buy)
2021-08-20+263,743→ 263,743 total
Exercise: $9.06Exp: 2031-08-19→ Common Stock (263,743 underlying)
Other
Common Stock
2021-08-24−7,701→ 0 total(indirect: By Trust)
Other
Common Stock
2021-08-24+7,701→ 31,055 total
Other
Common Stock
2021-08-24−1,341→ 0 total(indirect: By Trust)

Holdings

Footnotes (6)

[F1]The Reporting Person is the sole manager member of Mickle Holdings, LLC.
[F2]Transfer of shares held in dissolved trusts to the Reporting Person.
[F3]Transfer of shares to Christal M.M. Mickle.
[F4]Common stock that was previously held jointly by the Reporting Person and Christal M.M. Mickle, and is now held solely by Ms. Mickle.
[F5]The Reporting Person is the sole manager member of Mickle Investments, LLC.
[F6]Grant to the Reporting Person of a stock option under the Issuer's Amended and Restated 2014 Equity Incentive Plan (the "Plan"). 25% of the shares will vest on August 20, 2022 and the remaining 75% of the shares will vest in equal annual installments thereafter, provided that at the relevant vesting dates such optionee's employment relationship has not been terminated as defined in the Plan. All shares underlying the option will vest in full and become immediately exercisable upon a change of control of the Issuer or if the Reporting Person is terminated without cause or resigns for good reason. The option expires ten years after the date of grant.

Documents

1 file