FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
Imprimis Pharmaceuticals, Inc. [ IMMY ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 09/30/2014 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 09/30/2014 | M | 25,000 | A | $4.5 | 969,979 | D | |||
Common Stock | 09/30/2014 | F | 15,162 | D | $7.42 | 954,817 | D | |||
Common Stock | 09/30/2014 | M | 46,875 | A | $4.5 | 1,001,692 | D | |||
Common Stock | 09/30/2014 | F | 28,428 | D | $7.42 | 973,264 | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (Right to Buy) | $4.5 | 09/30/2014 | M | 25,000 | (1)(2) | 09/30/2014(4) | Common Stock | 25,000 | $0 | 0 | D | ||||
Stock Option (Right to Buy) | $4.5 | 09/30/2014 | M | 46,875 | (1)(3) | 09/30/2014(4) | Common Stock | 46,875 | $0 | 0 | D |
Explanation of Responses: |
1. All stock options are fully exercisable. |
2. The stock option was granted on April 1, 2012 under the Issuer's 2007 Stock Incentive and Awards Plan and the shares subject to the option became exercisable over a 1 year period, with 6,250 such shares becoming exercisable on each of June 30, 2012, September 30, 2012, December 31, 2012 and March 31, 2013. |
3. The stock option was granted on April 1, 2012 under the Issuer's 2007 Stock Incentive and Awards Plan and the shares subject to the stock option became exercisable over a 2 year period, with 15,000 such shares becoming exercisable immediately upon issuance and an additional 1,875 such shares becoming exercisable monthly for the next twenty four months thereafter. |
4. On September 30, 2013 the expiration date of the option was amended to be September 30, 2014 rather than March 31, 2017. |
/s/ Robert J. Kammer | 10/02/2014 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* 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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |