0001567619-18-001419.txt : 20180817
0001567619-18-001419.hdr.sgml : 20180817
20180817201615
ACCESSION NUMBER: 0001567619-18-001419
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180817
FILED AS OF DATE: 20180817
DATE AS OF CHANGE: 20180817
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Sarret Joseph J.
CENTRAL INDEX KEY: 0001488555
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36375
FILM NUMBER: 181026894
MAIL ADDRESS:
STREET 1: C/O CODEXIS, INC.
STREET 2: 200 PENOBSCOT DRIVE
CITY: REDWOOD CITY
STATE: CA
ZIP: 94063
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Corium International, Inc.
CENTRAL INDEX KEY: 0001594337
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 383230774
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0930
BUSINESS ADDRESS:
STREET 1: 235 CONSTITUTION DRIVE
CITY: MENLO PARK
STATE: CA
ZIP: 94025
BUSINESS PHONE: 650-298-8012
MAIL ADDRESS:
STREET 1: 235 CONSTITUTION DRIVE
CITY: MENLO PARK
STATE: CA
ZIP: 94025
4
1
doc1.xml
FORM 4
X0306
4
2018-08-17
0
0001594337
Corium International, Inc.
CORI
0001488555
Sarret Joseph J.
C/O CORIUM INTERNATIONAL, INC.
235 CONSTITUTION DRIVE
MENLO PARK
CA
94025
0
1
0
0
Chief Business Officer
Common Stock
2018-08-17
4
M
0
2813
0
A
12753
D
Common Stock
2018-08-17
4
M
0
7500
0
A
19775
D
Common Stock
2018-08-17
4
S
0
3565
9.0086
D
16210
D
Restricted Stock Units (RSU)
2018-08-17
4
M
0
2813
0
D
Common Stock
2813
8437
D
Restricted Stock Units (RSU)
2018-08-17
4
M
0
7500
0
D
Common Stock
7500
15000
D
Includes 1,000 shares acquired under the Issuer's employee stock purchase plan on May 18, 2018.
Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of the Restricted Stock Units ("RSUs") listed in Table II. This sale is mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person.
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.59 to $9.16 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Each RSU represents the contingent right to receive one share of the issuer's common stock upon settlement.
The RSUs vest as to 1/4 of the total number of shares on January 4, 2018 and then 1/4 of the total number of shares on January 4 of each successive year thereafter, subject to the Issuer's Insider Trading Policy and trading window and to the reporting person's continued service with the Issuer through each vesting date.
The RSUs vest as to 1/4 of the total number of shares on February 16, 2017 and then 1/4 of the total number of shares vest on February 16 of each successive year thereafter, subject to the Issuer's Insider Trading Policy and trading window and to the reporting person's continued service with the Issuer through each vesting date.
/s/Christina Dickerson, Attorney-in-Fact
2018-08-17