0001437749-23-000914.txt : 20230111 0001437749-23-000914.hdr.sgml : 20230111 20230111214656 ACCESSION NUMBER: 0001437749-23-000914 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230109 FILED AS OF DATE: 20230111 DATE AS OF CHANGE: 20230111 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Pascoe Richard W CENTRAL INDEX KEY: 0001343266 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36913 FILM NUMBER: 23524796 MAIL ADDRESS: STREET 1: C/O SEELOS THERAPEUTICS, INC. STREET 2: 300 PARK AVENUE, 12TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: KEMPHARM, INC CENTRAL INDEX KEY: 0001434647 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 205894398 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1180 CELEBRATION BOULEVARD, SUITE 103 CITY: CELEBRATION STATE: FL ZIP: 34747 BUSINESS PHONE: (321) 939-3416 MAIL ADDRESS: STREET 1: 1180 CELEBRATION BOULEVARD, SUITE 103 CITY: CELEBRATION STATE: FL ZIP: 34747 FORMER COMPANY: FORMER CONFORMED NAME: KEMPHARM INC DATE OF NAME CHANGE: 20080507 4 1 rdgdoc.xml FORM 4 X0306 4 2023-01-09 0001434647 KEMPHARM, INC KMPH 0001343266 Pascoe Richard W C/O KEMPHARM, INC. 1180 CELEBRATION BOULEVARD, SUITE 103 CELEBRATION FL 34747 1 1 Chief Executive Officer Stock Option (right to buy) 4.54 2023-01-09 4 A 0 700000 0 A 2033-01-08 Common Stock 700000 700000 D Grant to the Reporting Person of a stock option under the Issuer's Amended and Restated 2014 Equity Incentive Plan (the "Plan"). 25% of the shares will vest on January 6, 2024 and the remaining 75% of the shares will vest in equal annual installments thereafter, provided that at the relevant vesting dates such optionee's employment relationship has not been terminated as defined in the Plan. All shares underlying the option will vest in full and become immediately exercisable upon a change of control of the Issuer or if the Reporting Person is terminated without cause or resigns for good reason. The option expires ten years after the date of grant. /s/ Timothy J. Sangiovanni, Attorney-in-Fact for Richard W. Pascoe 2023-01-11