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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 | ||||||||
Warrant (Right to Buy) | $ 2.77 | 03/20/2015 | X/K(1) | 35,304 | 03/25/2008 | 03/24/2015 | Common Stock | 35,304 | $ 0 | 30,534 | I (2) | David L.Mahoney & Winnifred C. Ellis Family Trust | |||
Warrant (Right to Buy) | $ 2.77 | 03/20/2015 | X(1) | 30,534 | 02/06/2009 | 03/24/2015 | Common Stock | 30,534 | $ 0 | 0 | I (2) | David L.Mahoney & Winnifred C. Ellis Family Trust |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MAHONEY DAVID L C/O CORCEPT THERAPEUTICS 149 COMMONWEALTH DRIVE MENLO PARK, CA 94025 |
X |
/s/ Joseph K. Belanoff, CEO of Corcept Therapeutics Incorporated, attorney-in-fact | 03/24/2015 | |
**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) | On March 20, 2015, David L. Mahoney & Winnifred C. Ellis 1998 Family Trust exercised a warrant to purchase 65,838 shares of the Issuer's common stock for an exercise price of $2.77 per share. Mr. Mahoney's Family Trust paid the exercise price on a cashless basis, resulting in the Issuer's withholding of 31,175 of such shares to pay the exercise and issuing to Mr. Mahoney's Family Trust the remaining 34,663 shares. In connection with such exercise, the Issuer also paid Mr. Mahoney's Family Trust $2.49 in cash in lieu of a fractional share. |
(2) | Reflects transactions and holdings of shares of common stock of the Issuer held of record by Mr. Mahoney's Family Trust. |