FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 06/24/2014 |
3. Issuer Name and Ticker or Trading Symbol
Amphastar Pharmaceuticals, Inc. [ AMPH ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 4,728 | D | |
Common Stock | 8,080(1) | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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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: 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) | (2) | 07/28/2014 | Common Stock | 10,000 | $14.8 | D | |
Stock Option (Right to Buy) | (2) | 05/15/2015 | Common Stock | 9,782 | $14.8 | D | |
Stock Option (Right to Buy) | (2) | 05/15/2015 | Common Stock | 218 | $14.8 | D | |
Stock Option (Right to Buy) | (2) | 12/21/2016 | Common Stock | 4,000 | $30.57 | D | |
Stock Option (Right to Buy) | (2) | 12/21/2016 | Common Stock | 1,000 | $30.57 | D | |
Stock Option (Right to Buy) | (2) | 12/30/2017 | Common Stock | 8,767 | $31.65 | D | |
Stock Option (Right to Buy) | (2) | 12/30/2017 | Common Stock | 5,233 | $31.65 | D | |
Stock Option (Right to Buy) | (2) | 08/28/2018 | Common Stock | 2,522 | $35.32 | D | |
Stock Option (Right to Buy) | (2) | 08/28/2018 | Common Stock | 8,478 | $35.32 | D | |
Stock Option (Right to Buy) | (3) | 08/05/2019 | Common Stock | 3,500 | $20.26 | D | |
Stock Option (Right to Buy) | (4) | 08/05/2019 | Common Stock | 8,500 | $20.26 | D | |
Stock Option (Right to Buy) | (5) | 03/08/2021 | Common Stock | 9,000 | $11.41 | D | |
Stock Option (Right to Buy) | (6) | 03/08/2021 | Common Stock | 6,000 | $11.41 | D | |
Stock Option (Right to Buy) | (7) | 12/22/2021 | Common Stock | 4,954 | $14.23 | D | |
Stock Option (Right to Buy) | (8) | 12/22/2021 | Common Stock | 10,046 | $14.23 | D | |
Stock Option (Right to Buy) | (9) | 11/07/2022 | Common Stock | 6,183 | $10.48 | D | |
Stock Option (Right to Buy) | (10) | 11/07/2022 | Common Stock | 13,817 | $10.48 | D | |
Stock Option (Right to Buy) | (11) | 07/30/2023 | Common Stock | 8,223 | $10.93 | D | |
Stock Option (Right to Buy) | (12) | 07/30/2023 | Common Stock | 19,777 | $10.93 | D | |
Stock Option (Right to Buy) | (13) | 04/14/2024 | Common Stock | 11,775 | $14.4 | D |
Explanation of Responses: |
1. This represents deferred stock units that were granted on 4/14/2014 and vest over 4 years in equal annual installments commencing on the first anniversary of the grant date, subject to the reporting person's continued employment with or service to the Issuer or subsidiary thereof through the applicable vesting date. |
2. This option is fully vested and exercisable. |
3. This option was granted on 8/5/2009 and vests over 5 years in equal annual installments commencing on the first anniversary of the grant date, subject to the reporting person's continued employment with or service to the Issuer or subsidiary thereof through the applicable vesting date. |
4. This option was granted on 8/5/2009 and vests over 5 years in equal annual installments commencing on the first anniversary of the grant date, subject to the reporting person's continued employment with or service to the Issuer or subsidiary thereof through the applicable vesting date. |
5. This option was granted on 3/8/2011 and vests over 5 years in equal annual installments commencing on the first anniversary of the grant date, subject to the reporting person's continued employment with or service to the Issuer or subsidiary thereof through the applicable vesting date. |
6. This option was granted on 3/8/2011 and vests over 5 years in equal annual installments commencing on the first anniversary of the grant date, subject to the reporting person's continued employment with or service to the Issuer or subsidiary thereof through the applicable vesting date. |
7. This option was granted on 12/22/2011 and vests over 4 years in equal annual installments commencing on the first anniversary of the grant date, subject to the reporting person's continued employment with or service to the Issuer or subsidiary thereof through the applicable vesting date. |
8. This option was granted on 12/22/2011 and vests over 4 years in equal annual installments commencing on the first anniversary of the grant date, subject to the reporting person's continued employment with or service to the Issuer or subsidiary thereof through the applicable vesting date. |
9. This option was granted on 11/7/2012 and vests over 4 years in equal annual installments commencing on the first anniversary of the grant date, subject to the reporting person's continued employment with or service to the Issuer or subsidiary thereof through the applicable vesting date. |
10. This option was granted on 11/7/2012 and vests over 4 years in equal annual installments commencing on the first anniversary of the grant date, subject to the reporting person's continued employment with or service to the Issuer or subsidiary thereof through the applicable vesting date. |
11. This option was granted on 7/30/2013 and vests over 4 years in equal annual installments commencing on the first anniversary of the grant date, subject to the reporting person's continued employment with or service to the Issuer or subsidiary thereof through the applicable vesting date. |
12. This option was granted on 7/30/2013 and vests over 4 years in equal annual installments commencing on the first anniversary of the grant date, subject to the reporting person's continued employment with or service to the Issuer or subsidiary thereof through the applicable vesting date. |
13. This option was granted on 4/14/2014 and vests over 4 years in equal annual installments commencing on the first anniversary of the grant date, subject to the reporting person's continued employment with or service to the Issuer or subsidiary thereof through the applicable vesting date. |
/s/Diane G. Gerst, by Power of Attorney | 06/24/2014 | |
** 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 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). | ||
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. |