UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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 |
|
| ||||||||||||||||||||||||||||||
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Option (right to buy) | Â (1) | 06/30/2026 | Common Stock | 55,000 | $ 52.71 | D | Â |
Restricted Stock Units | Â (2) | 06/30/2026 | Common Stock | 30,000 | $ (3) | D | Â |
Stock Option (right to buy) | Â (4) | 01/23/2027 | Common Stock | 38,000 | $ 4.5 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Carroll David Francis C/O OPHTHOTECH CORPORATION ONE PENN PLAZA, 19TH FLOOR NEW YORK, NY 10119 |
 |  |  SVP, CFO and Treasurer |  |
/s/ David F. Carroll | 04/25/2017 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | This option was granted on July 1, 2016 and will vest over a four-year period, with 25% of the shares underlying the option vesting on July 1, 2017 and the remainder of the shares vesting in equal monthly amounts thereafter until July 2020, subject to continued service with the Registrant. |
(2) | This restricted stock unit award was granted on July 1, 2016 and will vest over a four-year period, with 25% of the shares underlying the restricted stock unit award vesting on each of the first, second, third and fourth anniversaries of the grant date, subject to continued service with the Registrant. |
(3) | Each restricted stock unit represents the contingent right to receive one share of common stock upon vesting of the unit. |
(4) | This option was granted on January 24, 2017 and will vest over a four-year period, with 25% of the shares underlying the option vesting on January 24, 2018 and the remainder of the shares vesting in equal monthly amounts thereafter until January 2021, subject to continued service with the Registrant. |
 Remarks: Exhibit Index: 24.1 Power of Attorney |