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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (Right To Buy) | $ 44.9 | 04/01/2016 | A | 150,000 | (1) | 03/31/2026 | Common Stock | 150,000 | $ 0 | 150,000 | D | ||||
Restricted Stock Units | (2) | 04/01/2016 | A | 75,000 | (3) | 03/31/2026 | Common Stock | 75,000 | $ 0 | 75,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SBLENDORIO GLENN C/O OPHTHOTECH CORPORATION ONE PENN PLAZA, 19TH FLOOR NEW YORK, NY 10119 |
EVP, COO & CFO, Treasurer |
/s/ Glenn Sblendorio | 04/05/2016 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | This option was granted on April 1, 2016 and will vest over a four-year period, with 25% of the shares underlying the option vesting on April 1, 2017 and the remainder of the shares vesting in equal monthly amounts thereafter until April 2020, subject to continued service with Ophthotech Corporation. |
(2) | Each restricted stock unit represents the contingent right to receive one share of common stock upon vesting of the unit. |
(3) | These restricted stock unit awards were granted on April 1, 2016 and will vest over a four-year period, with 25% of the shares underlying the restricted stock unit awards vesting on each of the first, second, third and fourth anniversaries of the grant date, subject to continued service with Ophthotech Corporation. |