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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) | $ 7.81 | 03/31/2011 | A | 1,000 | 03/31/2011 | 03/31/2021 | Common Stock | 1,000 | $ 5.2485 (1) | 1,000 | D | ||||
Stock Option (Right to Buy) | $ 7.33 | 06/30/2011 | A | 1,072 | 06/30/2011 | 06/30/2021 | Common Stock | 1,072 | $ 4.8965 (2) | 1,072 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Yetter Wayne P. C/O NUPATHE INC., 227 WASHINGTON STREET, SUITE 200 CONSHOHOCKEN, PA 19428 |
X |
/s/ Michael F. Marino, Attorney-in-Fact for the Reporting Person | 07/05/2011 | |
**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 issued to the reporting person on March 31, 2011 pursuant to the NuPathe Inc. 2010 Omnibus Incentive Compensation Plan in lieu of $5,250.00 of director fees earned by the reporting person during the quarter ended March 31, 2011 under the NuPathe Inc. Non-Employee Director Compensation Policy. |
(2) | This option was issued to the reporting person on June 30, 2011 pursuant to the NuPathe Inc. 2010 Omnibus Incentive Compensation Plan in lieu of $5,250.00 of director fees earned by the reporting person during the quarter ended June 30, 2011 under the NuPathe Inc. Non-Employee Director Compensation Policy. |