0001437749-17-001387.txt : 20170131 0001437749-17-001387.hdr.sgml : 20170131 20170131165610 ACCESSION NUMBER: 0001437749-17-001387 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170127 FILED AS OF DATE: 20170131 DATE AS OF CHANGE: 20170131 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: 2500 CROSSPARK ROAD, SUITE E126 CITY: CORALVILLE STATE: IA ZIP: 52241 BUSINESS PHONE: 319-665-2575 MAIL ADDRESS: STREET 1: 2500 CROSSPARK ROAD, SUITE E126 CITY: CORALVILLE STATE: IA ZIP: 52241 FORMER COMPANY: FORMER CONFORMED NAME: KEMPHARM INC DATE OF NAME CHANGE: 20080507 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Mickle Christal M M CENTRAL INDEX KEY: 0001638366 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36913 FILM NUMBER: 17561802 MAIL ADDRESS: STREET 1: 2656 CROSSPARK ROAD STREET 2: SUITE 100 CITY: CORALVILLE STATE: IA ZIP: 52241 4 1 rdgdoc.xml FORM 4 X0306 4 2017-01-27 0001434647 KEMPHARM, INC KMPH 0001638366 Mickle Christal M M C/O KEMPHARM, INC. 2500 CROSSPARK ROAD, SUITE E126 CORALVILLE IA 52241 1 1 VP, Operations & Product Dvlp. Stock Option (right to buy) 3.55 2017-01-27 4 A 0 30000 0 A 2027-01-26 Common Stock 30000 30000 D Stock Option (right to buy) 3.55 2017-01-27 4 A 0 225000 0 A 2027-01-26 Common Stock 225000 225000 I By Spouse Grant to the Reporting Person of a stock option under the Issuer's 2014 Equity Incentive Plan (the "Plan"). 25% of the shares will vest on January 27, 2018 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. Grant to the Reporting Person's spouse of a stock option under the Plan. 25% of the shares will vest on January 27, 2018 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's spouse is terminated without cause or resigns for good reason. The option expires ten years after the date of grant. /s/ Christal M.M. Mickle 2017-01-31