0001104659-18-043878.txt : 20180703
0001104659-18-043878.hdr.sgml : 20180703
20180703171058
ACCESSION NUMBER: 0001104659-18-043878
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180701
FILED AS OF DATE: 20180703
DATE AS OF CHANGE: 20180703
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Carroll David Francis
CENTRAL INDEX KEY: 0001703623
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36080
FILM NUMBER: 18938348
MAIL ADDRESS:
STREET 1: ONE UNIVERSITY SQUARE DRIVE, SUITE 280
CITY: PRINCETON
STATE: NJ
ZIP: 08540
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Ophthotech Corp.
CENTRAL INDEX KEY: 0001410939
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 208185347
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: ONE PENN PLAZA
STREET 2: 35TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10119
BUSINESS PHONE: 212-845-8200
MAIL ADDRESS:
STREET 1: ONE PENN PLAZA
STREET 2: 35TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10119
4
1
a4.xml
4
X0306
4
2018-07-01
0
0001410939
Ophthotech Corp.
OPHT
0001703623
Carroll David Francis
C/O OPHTHOTECH CORPORATION
ONE PENN PLAZA, 35TH FLOOR
NEW YORK
NY
10119
0
1
0
0
SVP, CFO and Treasurer
Common Stock
2018-07-01
4
M
0
7500
A
11716
D
Common Stock
2018-07-02
4
S
0
2736
2.68
D
8980
D
Restricted Stock Units
2018-07-01
4
M
0
7500
0.00
D
2026-06-30
Common Stock
7500
15000
D
Restricted stock units converted into common stock on a one-for-one basis upon vesting of the units.
Represents shares automatically sold pursuant to the prespecified terms of the applicable Restricted Stock Unit Agreement to satisfy the reporting person's minimum statutory withholding obligations with respect to the income recognized by the reporting person upon the vesting of the restricted stock units on July 1, 2018.
These shares were disposed of in multiple transactions on July 2, 2018 at actual sales prices between $2.67 to $2.84 per share. The price reported reflects the weighted average sale price for the transactions. The reporting person undertakes to provide upon request by the staff of the Securities Exchange Commission, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
On July 1, 2016, the reporting person was granted an award of 30,000 restricted stock units, which vests with respect to 25% of the shares subject to the award on each of the first, second, third and fourth anniversaries of the grant date, subject to continued employment with the issuer and the other terms and conditions under the issuer's 2013 Stock Incentive Plan.
/s/ David F. Carroll
2018-07-03