0001144204-16-124773.txt : 20160921 0001144204-16-124773.hdr.sgml : 20160921 20160921170939 ACCESSION NUMBER: 0001144204-16-124773 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160920 FILED AS OF DATE: 20160921 DATE AS OF CHANGE: 20160921 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: PHARMATHENE, INC CENTRAL INDEX KEY: 0001326190 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 202726770 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: ONE PARK PLACE, SUITE 450 CITY: ANNAPOLIS STATE: MD ZIP: 21401 BUSINESS PHONE: 410 269 2600 MAIL ADDRESS: STREET 1: ONE PARK PLACE, SUITE 450 CITY: ANNAPOLIS STATE: MD ZIP: 21401 FORMER COMPANY: FORMER CONFORMED NAME: HEALTHCARE ACQUISITION CORP DATE OF NAME CHANGE: 20050505 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MACNEILL PHILIP CENTRAL INDEX KEY: 0001529856 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32587 FILM NUMBER: 161896179 MAIL ADDRESS: STREET 1: ONE PARK PLACE STREET 2: STE 450 CITY: ANNAPOLIS STATE: MD ZIP: 21401 4 1 v449203_4.xml OWNERSHIP DOCUMENT X0306 4 2016-09-20 0 0001326190 PHARMATHENE, INC PIP 0001529856 MACNEILL PHILIP C/O PHARMATHENE, INC., ONE PARK PLACE, SUITE 450 ANNAPOLIS MD 21401 0 1 0 0 VP, CFO, Treasurer, Secretary Common Stock, par value $0.0001 per share 2016-09-20 4 M 0 4500 1.21 A 54500 D Common Stock, par value $0.0001 per share 2016-09-20 4 M 0 1845 1.21 A 56345 D Common Stock, par value $0.0001 per share 2016-09-20 4 M 0 5625 1.13 A 61970 D Common Stock, par value $0.0001 per share 2016-09-20 4 M 0 14063 1.94 A 76033 D Common Stock, par value $0.0001 per share 2016-09-20 4 M 0 10000 1.71 A 86033 D Common Stock, par value $0.0001 per share 2016-09-20 4 M 0 17656 1.66 A 103689 D Employee Stock Option (right to buy) 1.21 2016-09-20 4 M 0 4500 0 D 2021-12-01 Common Stock 4500 0 D Employee Stock Option (right to buy) 1.21 2016-09-20 4 M 0 1845 0 D 2012-12-01 2021-12-01 Common Stock 1845 0 D Employee Stock Option (right to buy) 1.13 2016-09-20 4 M 0 5625 0 D 2022-12-03 Common Stock 5625 0 D Employee Stock Option (right to buy) 1.94 2016-09-20 4 M 0 14063 0 D 2024-01-29 Common Stock 14063 4687 D Employee Stock Option (right to buy) 1.71 2016-09-20 4 M 0 10000 0 D 2024-12-08 Common Stock 10000 10000 D Employee Stock Option (right to buy) 1.66 2016-09-20 4 M 0 17656 0 D 2025-12-03 Common Stock 17656 52969 D These options became exercisable in 4 equal annual installments, with the first installment exercisable on December 1, 2011. These options became exercisable in 4 equal annual installments, with the first installment exercisable on December 3, 2012. These options became exercisable in 4 equal annual installments, with the first installment exercisable on January 29, 2014. These options became exercisable in 4 equal annual installments, with the first installment exercisable on December 8, 2014. These options were granted on December 3, 2015, and vest over a 3 year period with 25% vesting on the grant date and an additional 25% vesting on each of the first, second and third anniversaries of the grant date. /s/ Philip MacNeill 2016-09-21