UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
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) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Option (right to buy) | Â (2) | 04/08/2022 | Common Stock | 10,169 | $ 1.65 | D | Â |
Stock Option (right to buy) | Â (3) | 12/29/2022 | Common Stock | 5,199 | $ 10.03 | D | Â |
Stock Option (right to buy) | Â (4) | 01/01/2024 | Common Stock | 67,250 | $ 31.29 | D | Â |
Stock Option (right to buy) | Â (5) | 01/01/2025 | Common Stock | 6,250 | $ 45.6 | D | Â |
Restricted Stock Units | Â (6) | 01/01/2025 | Common Stock | 1,562 | $ (1) | D | Â |
Stock Option (right to buy) | Â (7) | 01/03/2026 | Common Stock | 11,000 | $ 73.22 | D | Â |
Restricted Stock Units | Â (8) | 01/03/2026 | Common Stock | 2,100 | $ (1) | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Westby Keith C/O OPHTHOTECH CORPORATION ONE PENN PLAZA, 19TH FLOOR NEW YORK, NY 10119 |
 |  |  SVP & COO |  |
/s/ Keith Westby | 02/01/2017 | |
**Signature of Reporting Person | Date |
* | 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) | Each restricted stock unit represents the contingent right to receive one share of common stock upon vesting of the unit. |
(2) | This stock option was granted on April 9, 2012 and is fully vested. |
(3) | This stock option was granted on December 30, 2012 and is fully vested. |
(4) | This stock option was granted on January 2, 2014 and is currently exercisable for 49,750 shares. The remaining shares underlying this stock option vest monthly in approximately equal amounts through January 2018, subject to continued employment with the Registrant and the other terms and conditions under the Registrant's 2013 Stock Incentive Plan. |
(5) | This stock option was granted on January 2, 2015 and is currently exercisable for 3,125 shares. The remaining shares underlying this stock option vest monthly in approximately equal amounts through January 2019, subject to continued employment with the Registrant and the other terms and conditions under the Registrant's 2013 Stock Incentive Plan. |
(6) | This Restricted Stock Unit award was granted on January 2, 2015. This award will vest with respect to approximately 781 shares on each of the third and fourth anniversaries of the grant date, subject to continued employment with the Registrant and the other terms and conditions under the Registrant's 2013 Stock Incentive Plan. |
(7) | This stock option was granted on January 4, 2016 and is currently exercisable for 2,750 shares. The remaining shares underlying this stock option vest monthly in approximately equal amounts through January 2020, subject to continued employment with the Registrant and the other terms and conditions under the Registrant's 2013 Stock Incentive Plan. |
(8) | This Restricted Stock Unit award was granted on January 4, 2016. This award will vest with respect to 700 shares on each of the second, third and fourth anniversaries of the grant date, subject to continued employment with the Registrant and the other terms and conditions under the Registrant's 2013 Stock Incentive Plan. |
 Remarks: Exhibit Index: 24.1 Power of Attorney |