1. Name and Address of Reporting Person * |
Â
Luo Mary Z. |
|
2. Date of Event Requiring Statement (Month/Day/Year) 06/24/2014 |
3. Issuer Name and Ticker or Trading Symbol Amphastar Pharmaceuticals, Inc. [AMPH]
|
C/O AMPHASTAR PHARMACEUTICALS, INC., 11570 6TH STREET |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
__X__ Director |
__X__ 10% Owner |
__X__ Officer (give title below) |
_____ Other (specify below) |
COO, Chief Scientist, COB |
|
5. If Amendment, Date Original Filed(Month/Day/Year)
|
RANCHO CUCAMONGA, CA 91730 |
6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
|
Table I - Non-Derivative Securities Beneficially Owned |
|
1.Title of Security (Instr. 4) |
2. Amount of Securities Beneficially Owned (Instr. 4) |
3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) |
4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock
|
547,823
|
D
|
Â
|
Common Stock
|
68,973
(1)
|
D
|
Â
|
Common Stock
|
7,631,594
|
I
|
By APCL
(2)
|
Common Stock
|
5,000
|
I
|
By son
(3)
|
Common Stock
|
200,000
|
I
|
By son
(4)
|
|
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Stock Option (Right to Buy)
|
Â
(5)
|
08/02/2014 |
Common Stock
|
185,000
|
$
22.29
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(5)
|
09/28/2015 |
Common Stock
|
185,000
|
$
12.97
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(6)
|
10/03/2016 |
Common Stock
|
181,768
|
$
16.75
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(7)
|
07/13/2017 |
Common Stock
|
264,895
|
$
11.51
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(8)
|
09/28/2017 |
Common Stock
|
138,632
|
$
11.53
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(9)
|
07/05/2018 |
Common Stock
|
746,181
|
$
12.02
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(10)
|
03/27/2019 |
Common Stock
|
224,737
|
$
15.84
|
D
|
Â
|
* |
If the form is filed by more than one reporting person, see Instruction 5(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 represents deferred stock units that were granted on 3/27/2014 and vest over 4 years in equal annual installments commencing on the first anniversary of the grant date, subject to the reporting person's continued employment with or service to the Issuer or subsidiary thereof through the applicable vesting date. |
(2) |
The reporting person and Dr. Jack Y. Zhang ("Dr. Zhang"), the Chief Executive Officer and a director of the Issuer, are the sole owners of Applied Physics & Chemistry Laboratories, Inc. The reporting person and Dr. Zhang have shared voting and investment power over these shares. |
(3) |
Shares held in an account for the benefit of the reporting person's son, Bill Luobei Zhang, who shares the reporting person's household. As such, the reporting person may be deemed to have indirect beneficial ownership of these shares. The reporting person disclaims beneficial ownership of these shares, and the inclusion of these shares in this report should not be deemed an admission of beneficial ownership of any such shares for purposes of Section 16, or for any other purpose. |
(4) |
Shares held by a trust for the benefit of the reporting person's son, Bill Luobei Zhang, who shares the reporting person's household. As such, the reporting person may be deemed to have indirect beneficial ownership of these shares. The reporting person disclaims beneficial ownership of these shares, and the inclusion of these shares in this report should not be deemed an admission of beneficial ownership of any such shares for purposes of Section 16, or for any other purpose. |
(5) |
This option is fully vested and exercisable. |
(6) |
This option was granted on 10/3/2011 and vests over 3 years in equal annual installments commencing on the first anniversary of the grant date, subject to the reporting person's continued (i) employment with or service to the Issuer or subsidiary thereof and (ii) service on the Board of Directors of the Issuer, in each case through the applicable vesting date. |
(7) |
This option was granted on 7/13/2012 and vests over 4 years in equal annual installments commencing on the first anniversary of the grant date, subject to the reporting person's continued (i) employment with or service to the Issuer or subsidiary thereof and (ii) service on the Board of Directors of the Issuer, in each case through the applicable vesting date. |
(8) |
This option was granted on 9/28/2012 and vests over 4 years in equal annual installments commencing on the first anniversary of the grant date, subject to the reporting person's continued (i) employment with or service to the Issuer or subsidiary thereof and (ii) service on the Board of Directors of the Issuer, in each case through the applicable vesting date. |
(9) |
This option was granted on 7/5/2013 and vests over 3 years in equal annual installments commencing on the first anniversary of the grant date, subject to the reporting person's continued (i) employment with or service to the Issuer or subsidiary thereof and (ii) service on the Board of Directors of the Issuer, in each case through the applicable vesting date. |
(10) |
This option was granted on 3/27/2014 and vests over 3 years in equal annual installments commencing on the first anniversary of the grant date, subject to the reporting person's continued (i) employment with or service to the Issuer or subsidiary thereof and (ii) service on the Board of Directors of the Issuer, in each case through the applicable vesting date. |