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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 Options | $ 1.3 | 03/05/2013 | M | 6,225 | 01/01/2013(4) | 03/09/2014(4) | Common Stock | 6,225 | (5) | 6,225 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Seiser Robert A C/O ACURA PHARMACEUTICALS, INC. 616 N. NORTH COURT SUITE 120 PALATINE, IL 60067 |
VP, Controller & Treasurer |
/s/ Robert Seiser | 03/06/2013 | |
**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) | Holdings include 47,500 Restricted Stock Units. Absent a change of control, shares of common stock will be distributed under the Restricted Stock Units (after payment of $.01 par value per share) on January 1, 2014. If a change of control occurs, one share of common stock will be distributed for each outstanding Restricted Stock Unit (after payment of $0.01 per share par value) at or about the time of the change of control. |
(2) | Shares withheld by the Issuer for payment by the Reporting Person to the Issuer of his option exercise price. |
(3) | Shares withheld by the Issuer for payment by the Reporting Person of his tax withholdings. |
(4) | Option is exercsiable with respect to 6,225 shares commencing January 1, 2013. Remaining portion of option is exercisable (absent a change of control) commencing on January 1, 2014, and must be exercised in year in which it first becomes exercisable. |
(5) | N/A |