Travis C. Mickle - 20 Aug 2021 Form 4 Insider Report for KEMPHARM, INC (ZVRA)

Role
President & CEO, Director
Signature
/s/ Travis C. Mickle
Issuer symbol
ZVRA
Transactions as of
20 Aug 2021
Net transactions value
$0
Form type
4
Filing time
24 Aug 2021, 16:51:36 UTC
Previous filing
14 Jun 2021
Next filing
30 Aug 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ZVRA Common Stock Other $0 -96,153 -80% $0.000000 23,354 24 Aug 2021 Direct
transaction ZVRA Common Stock Other $0 +96,153 $0.000000 96,153 24 Aug 2021 By Mickle Holdings LLC F1
transaction ZVRA Common Stock Other $0 -7,701 -100% $0.000000* 0 24 Aug 2021 By Travis C. Mickle & Christal M.M. Mickle TRS UA 4-30-09 Mickle Family Trust, co-trustee F2
transaction ZVRA Common Stock Other $0 +7,701 +33% $0.000000 31,055 24 Aug 2021 Direct F2
transaction ZVRA Common Stock Other $0 -1,341 -100% $0.000000* 0 24 Aug 2021 By Travis C. Mickle & Christal M.M. Mickle TRS UA 4-30-09 TCM Family Trust, co-trustee F2
transaction ZVRA Common Stock Other $0 +1,341 +4.3% $0.000000 32,396 24 Aug 2021 Direct F2
transaction ZVRA Common Stock Other $0 -3,125 -9.6% $0.000000 29,271 24 Aug 2021 Direct F3
transaction ZVRA Common Stock Other $0 -6,287 -100% $0.000000* 0 24 Aug 2021 Direct F4
holding ZVRA Common Stock 15,242 20 Aug 2021 By Christal M.M. Mickle 2015 Gift Trust dtd 7/21/15, as trustee
holding ZVRA Common Stock 9,824 20 Aug 2021 By Travis C. Mickle 2015 Dynasty Trust dtd 7/21/15, Christal M.M. Mickle as trustee
holding ZVRA Common Stock 1,034 20 Aug 2021 By Mickle Investments LLC F5

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction ZVRA Stock Option (right to buy) Award $0 +263,743 $0.000000 263,743 20 Aug 2021 Common Stock 263,743 $9.06 Direct F6
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The Reporting Person is the sole manager member of Mickle Holdings, LLC.
F2 Transfer of shares held in dissolved trusts to the Reporting Person.
F3 Transfer of shares to Christal M.M. Mickle.
F4 Common stock that was previously held jointly by the Reporting Person and Christal M.M. Mickle, and is now held solely by Ms. Mickle.
F5 The Reporting Person is the sole manager member of Mickle Investments, LLC.
F6 Grant to the Reporting Person of a stock option under the Issuer's Amended and Restated 2014 Equity Incentive Plan (the "Plan"). 25% of the shares will vest on August 20, 2022 and the remaining 75% of the shares will vest in equal annual installments thereafter, provided that at the relevant vesting dates such optionee's employment relationship has not been terminated as defined in the Plan. All shares underlying the option will vest in full and become immediately exercisable upon a change of control of the Issuer or if the Reporting Person is terminated without cause or resigns for good reason. The option expires ten years after the date of grant.