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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 | |
THOMAS FRANK E 1100 WINTER STREET WALTHAM, MA 02451 |
EVP, Chief Operating Officer |
Nancy R. Smith, attorney-in-fact | 12/17/2013 | |
**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) | This total includes 15,000 previously unvested restricted stock units granted on August 1, 2011 and 10,000 previously reported in Table II and 10,000 previously unvested restricted stock units granted on November 30, 2011 and previously reported in Table II. Portions of each of these awards (i.e. 5,000 restricted stock units under each award) were scheduled to vest on August 1, 2013 and November 30, 2013, respectively. However, due to the black out policies implemented by AMAG Pharmaceuticals, Inc. and certain tax laws, the shares underlying such restricted stock units were not delivered to the reporting person until December 16, 2013, at which time 1,633 shares for each award were withheld to satisfy the reporting person's tax obligations. |
(2) | In addition, this total includes 20,000 unvested restricted stock units granted on January 3, 2012 and previously reported in Table II. Thus, after taking into account the delivery of shares on December 16, 2013, this total includes an aggregate of 35,000 unvested restricted stock units previously reported in Table II. |