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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (Right To Buy) | $ 58.29 | 06/02/2016 | A | 7,000 | (1) | 06/01/2026 | Common Stock | 7,000 | $ 0 | 7,000 | D | ||||
Restricted Stock Units | (2) | 06/02/2016 | A | 1,750 | (3) | 06/01/2026 | Common Stock | 1,750 | $ 0 | 1,750 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Redlick David E C/O OPHTHOTECH CORPORATION ONE PENN PLAZA, 19TH FLOOR NEW YORK, NY 10119 |
X |
/s/ Justin Vogel, as Attorney-in-Fact for David Redlick | 06/03/2016 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Subject to Reporting Person providing continued services to the Issuer and other terms and conditions under the Registrant's 2013 Stock Incentive Plan, the option will vest and become exercisable in 12 consecutive, equal installments on each consecutive monthly anniversary of the date of grant, until fully vested and exercisable on the first anniversary of the date of grant. Any unvested shares subject to the option will be accelerated in full one business day prior to the Issuer's 2017 annual meeting of stockholders. |
(2) | Each restricted stock unit represents the contingent right to receive one share of Issuer common stock upon vesting of the unit. |
(3) | Subject to Reporting Person providing continued services to the Issuer and other terms and conditions under a Restricted Stock Unit Agreement by and between the Reporting Person and the Issuer, the Restricted Stock Unit award will vest with respect to 100% of the shares subject to the award on the earlier of (i) the first anniversary of the grant date or (ii) one business day prior to the Issuer's 2017 annual meeting of stockholders. |