0001437749-20-002099.txt : 20200207 0001437749-20-002099.hdr.sgml : 20200207 20200207213846 ACCESSION NUMBER: 0001437749-20-002099 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200205 FILED AS OF DATE: 20200207 DATE AS OF CHANGE: 20200207 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Mickle Travis C CENTRAL INDEX KEY: 0001638365 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36913 FILM NUMBER: 20589165 MAIL ADDRESS: STREET 1: 2656 CROSSPARK ROAD STREET 2: SUITE 100 CITY: CORALVILLE STATE: IA ZIP: 52241 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 2020-02-05 0001434647 KEMPHARM, INC KMPH 0001638365 Mickle Travis C C/O KEMPHARM, INC. 1180 CELEBRATION BOULEVARD, SUITE 103 CELEBRATION FL 34747 1 1 1 President & CEO Stock Option (right to buy) 0.374 2020-02-05 4 A 0 420000 0 A 2030-02-04 Common Stock 420000 420000 D Grant to the Reporting Person of a stock option under the Issuer's 2014 Equity Incentive Plan (the "Plan"). 50% of the shares underlying the option will vest upon the approval by the U.S. Food and Drug Administration of a new drug application for the Company's product candidate, KP415. The remaining 50% of the shares underlying the option will vest upon the approval of a label for KP415 which includes 30 minute onset and 13-hour duration (the "30/13 Label") as defined in the KP415 License Agreement dated September 3, 2019. Each vesting event is contingent upon such optionee's continued employment with the Issuer at the relevant vesting date 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 Travis C. Mickle 2020-02-07