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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Hadas Nicole R. C/O AKEBIA THERAPEUTICS, INC. 245 FIRST STREET, SUITE 1100 CAMBRIDGE, MA 02142 |
SVP, General Counsel, Sec. |
John P. Butler, Attorney-in-Fact for Nicole R. Hadas | 07/02/2015 | |
**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) | 72,623 shares of restricted stock (as adjusted from 41,499 shares prior to the 1.75-for-1 stock split effected on March 6, 2014) were awarded on December 23, 2013. Twenty-five percent of the shares vested on December 2, 2014. The remaining shares vest in equal quarterly installments over the following three years until fully vested. |
(2) | Shares sold by reporting person pursuant to a 10b5-1 plan to pay taxes in connection with the vesting of restricted stock pursuant to the December 23, 2013 award described in footnote 1. |
(3) | The price reported in this Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $8.90 to $9.31, inclusive. The reporting person undertakes to provide Issuer, any security holder of Issuer, or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each price within the range set forth in this footnote. |
Remarks: This Form 4/A amends the Form 4 filing made on behalf of the Reporting Person on April 6, 2015. The Form 4, as originally filed, incorrectly reported the time-based vesting of 4,539 shares of restricted stock on April 1, 2015, which restricted stock had previously been reported in Table I. The amount of securities beneficially owned in Table I, Column 5 as of April 1, 2015 was incorrectly reported as 77,576. The correct total as of April 1, 2015 was 68,498. The amount of securities beneficially owned in Table I, Column 5 as of April 2, 2015 was incorrectly reported as 76,093. The correct total as of April 2, 2015 was 67,015. Footnote 4 in the January 5, 2015 filing incorrectly stated that shares were purchased when in fact they were sold. |