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 |
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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) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Option (right to buy) | Â (3) | 08/28/2018 | Common Stock | 11,000 | $ 35.32 | D | Â |
Employee Stock Option (right to buy) | Â (3) | 08/05/2019 | Common Stock | 11,500 | $ 20.26 | D | Â |
Employee Stock Option (right to buy) | Â (3) | 03/08/2021 | Common Stock | 6,000 | $ 11.41 | D | Â |
Employee Stock Option (right to buy) | Â (3) | 12/22/2021 | Common Stock | 4,903 | $ 14.23 | D | Â |
Employee Stock Option (right to buy) | Â (3) | 11/07/2022 | Common Stock | 20,000 | $ 10.48 | D | Â |
Employee Stock Option (right to buy) | Â (3) | 07/30/2023 | Common Stock | 26,000 | $ 10.93 | D | Â |
Employee Stock Option (right to buy) | Â (3) | 04/14/2024 | Common Stock | 4,904 | $ 14.4 | D | Â |
Employee Stock Option (right to buy) | Â (4) | 03/26/2025 | Common Stock | 17,800 | $ 14.95 | D | Â |
Employee Stock Option (right to buy) | Â (5) | 03/17/2026 | Common Stock | 29,801 | $ 11.33 | D | Â |
Employee Stock Option (right to buy) | Â (6) | 03/16/2027 | Common Stock | 23,352 | $ 13.35 | D | Â |
Employee Stock Option (right to buy) | Â (7) | 03/15/2028 | Common Stock | 18,892 | $ 19.79 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Liawatidewi Yakob C/O AMPHASTAR PHARMACEUTICALS, INC. 11570 6TH STREET RANCHO CUCAMONGA, CA 91730 |
 |  |  SVP Corp Admin Center |  |
/s/ Eva Wen by power of attorney | 06/18/2018 | |
**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) | Of the reported shares, 21,801 shares are represented by restricted stock units, or RSUs which vest as follows: (i) 1,680 RSUs vest on March 26, 2019; (ii) 4,964 RSUs vest in two equal annual installments beginning on March 17, 2019; (iii) 7,022 RSUs vest in three equal annual installments beginning on March 16, 2019; and (iv) 8,135 RSUs vest in four equal annual installments beginning on March 15, 2019. |
(2) | The reported shares are held of record by the Yakob and Sunmoon Trust dated July 25, 2013 for which the reporting person serves as a trustee. |
(3) | Shares subject to the option are fully vested and immediately exercisable. |
(4) | Shares subject to the option vest in four equal annual installments beginning on March 26, 2016. |
(5) | Shares subject to the option vest in four equal annual installments beginning on March 17, 2017. |
(6) | Shares subject to the option vest in four equal annual installments beginning on March 16, 2018. |
(7) | Shares subject to the option vest in four equal annual installments beginning on March 15, 2019. |
 Remarks: Exhibit 24  - Power of Attorney |