Filing Details

Accession Number:
0001140361-13-041731
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-11-12 15:02:07
Reporting Period:
2013-11-07
Filing Date:
2013-11-12
Accepted Time:
2013-11-12 15:02:07
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1070698 Raptor Pharmaceutical Corp RPTP Pharmaceutical Preparations (2834) 860883978
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1298076 Llew Keltner C/O Raptor Pharmaceutical Corp.
5 Hamilton Landing, Suite 160
Novato CA 94949
Yes No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2013-11-07 10,000 $3.30 10,000 No 4 M Direct
Common Stock Disposition 2013-11-07 9,500 $14.01 500 No 4 S Direct
Common Stock Disposition 2013-11-07 500 $14.80 0 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Stock options (right to buy) Disposition 2013-11-07 10,000 $0.00 10,000 $3.30
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
20,961 2010-03-30 2019-09-30 No 4 M Direct
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Stock options (right to buy) $2.02 2010-03-09 2020-03-08 13,203 13,203 Direct
Common Stock Stock options (right to buy) $2.97 2011-03-01 2020-10-11 30,000 30,000 Direct
Common Stock Stock options (right to buy) $3.54 2010-11-22 2020-11-21 90,000 90,000 Direct
Common Stock Stock options (right to buy) $5.13 2011-12-22 2021-09-21 30,000 30,000 Direct
Common Stock Stock options (right to buy) $5.13 2012-03-22 2021-09-21 90,000 90,000 Direct
Common Stock Stock options (right to buy) $5.49 2012-12-25 2022-09-24 50,000 50,000 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2020-03-08 13,203 13,203 Direct
2020-10-11 30,000 30,000 Direct
2020-11-21 90,000 90,000 Direct
2021-09-21 30,000 30,000 Direct
2021-09-21 90,000 90,000 Direct
2022-09-24 50,000 50,000 Direct
Footnotes
  1. Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on August 14, 2013.
  2. Fully vested and exercisable.
  3. Stock options vest starting on September 1, 2010, 6/48ths on February 28, 2011 and 1/48th per month thereafter.
  4. Stock option vests 25% immediately and 75% pro rata over 36 months.
  5. Stock options vest 6/48ths on March 22, 2012 and 1/48th per month thereafter.
  6. This transaction was executed in multiple trades at prices ranging from $13.55 to $14.40. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide, upon request, to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
  7. This transaction was executed in multiple trades at prices ranging from $14.74 to $14.98. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide, upon request, to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
  8. The shares listed as owned in column 9 represent the total shares for each respective option. Previous reports reflected aggregate amounts of option shares in column 9. The holding lines included on this Form 4 are included solely to correct the breakdown of shares among various stock options and are not meant to reflect any change in beneficial ownership of option shares other than those reported as a transaction on this Form 4.