0001567619-18-001417.txt : 20180817 0001567619-18-001417.hdr.sgml : 20180817 20180817201300 ACCESSION NUMBER: 0001567619-18-001417 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180815 FILED AS OF DATE: 20180817 DATE AS OF CHANGE: 20180817 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: STAPLE PETER D CENTRAL INDEX KEY: 0001271088 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36375 FILM NUMBER: 181026891 MAIL ADDRESS: STREET 1: 863 C MITTEN ROAD CITY: BURLINGAME STATE: CA ZIP: 94010 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Corium International, Inc. CENTRAL INDEX KEY: 0001594337 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 383230774 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 BUSINESS ADDRESS: STREET 1: 235 CONSTITUTION DRIVE CITY: MENLO PARK STATE: CA ZIP: 94025 BUSINESS PHONE: 650-298-8012 MAIL ADDRESS: STREET 1: 235 CONSTITUTION DRIVE CITY: MENLO PARK STATE: CA ZIP: 94025 4 1 doc1.xml FORM 4 X0306 4 2018-08-15 0 0001594337 Corium International, Inc. CORI 0001271088 STAPLE PETER D C/O CORIUM INTERNATIONAL, INC. 235 CONSTITUTION DRIVE MENLO PARK CA 94025 1 1 0 0 President & CEO Common Stock 2018-08-15 4 M 0 190730 2.121 A 362316 D Common Stock 2018-08-15 4 F 0 45919 8.81 D 316397 D Common Stock 2018-08-16 4 S 0 39320 8.6624 D 277077 D Common Stock 2018-08-17 4 M 0 7813 0 A 284890 D Common Stock 2018-08-17 4 S 0 2701 9.0086 D 282189 D Common Stock 2018-08-17 4 S 0 34320 8.9623 D 247869 D Common Stock 34878 I By The Staple Family 2006 Trust Employee Stock Option (Right to Buy) 2.121 2018-08-15 4 M 0 190730 0 D 2018-08-25 Common Stock 190730 0 D Restricted Stock Units (RSU) 2018-08-17 4 M 0 7813 0 D Common Stock 7813 23437 D Represents the number of already-owned shares delivered by the reporting person to pay the exercise price of the expiring employee stock option listed in Table II. The sales reported were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Represents the number of shares sold pursuant to a Rule 10b5-1 plan adopted by the reporting person to cover tax obligations in connection with the vesting of the stock options listed in Table II. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.54 to $8.84 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of the RSUs listed in Table II. This sale is mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.59 to $9.16 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.81 to $9.04 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. This option was fully vested and due to expire on August 25, 2018. Each Restricted Stock Unit ("RSU") represents the contingent right to receive one share of the issuer's common stock upon settlement. The RSUs vest as to 1/4 of the total number of shares on January 4, 2018 and then 1/4 of the total number of shares on January 4 of each successive year thereafter, subject to the Issuer's Insider Trading Policy and trading window and to the reporting person's continued service with the Issuer through each vesting date. /s/Christina Dickerson, Attorney-in-Fact 2018-08-17