- Statement of Changes in Beneficial Ownership (4)
23 Mayo 2012 - 6:36PM
Edgar (US Regulatory)
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FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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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(f) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
MITRO THOMAS A
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2. Issuer Name
and
Ticker or Trading Symbol
ISTA PHARMACEUTICALS INC
[
ISTA
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
VP, Sales & Marketing
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(Last)
(First)
(Middle)
50 TECHNOLOGY
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3. Date of Earliest Transaction
(MM/DD/YYYY)
5/22/2012
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(Street)
IRVINE, CA 92618
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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5/22/2012
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(1)
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M
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30000
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A
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$8.5000
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145202
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D
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Common Stock
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5/22/2012
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(1)
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F
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28084
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D
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$9.0800
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117118
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D
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Common Stock
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5/22/2012
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(1)
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M
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1253
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A
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$3.4900
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118371
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D
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Common Stock
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5/22/2012
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(1)
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F
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482
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D
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$9.0800
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117889
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D
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Common Stock
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5/22/2012
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(1)
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M
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15334
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A
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$6.7700
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133223
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D
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Common Stock
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5/22/2012
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(1)
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F
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11433
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D
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$9.0800
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121790
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D
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Common Stock
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5/22/2012
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(1)
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M
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15729
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A
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$7.4300
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137519
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D
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Common Stock
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5/22/2012
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(1)
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F
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12871
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D
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$9.0800
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124648
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D
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Common Stock
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5/22/2012
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(1)
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M
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21780
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A
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$4.4600
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146428
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D
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Common Stock
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5/22/2012
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(1)
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F
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10698
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D
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$9.0800
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135730
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D
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Common Stock
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5/22/2012
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(1)
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M
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21731
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A
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$1.0400
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157461
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D
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Common Stock
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5/22/2012
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(1)
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F
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2489
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D
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$9.0800
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154972
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D
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Common Stock
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5/22/2012
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(1)
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M
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9862
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A
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$3.6300
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164834
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D
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Common Stock
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5/22/2012
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(1)
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F
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3943
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D
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$9.0800
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160891
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D
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Common Stock
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5/22/2012
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(1)
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M
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1115
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A
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$6.8200
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162006
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D
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Common Stock
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5/22/2012
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(1)
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F
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837
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D
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$9.0800
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161169
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Incentive Stock Option (right to buy)
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$1.0400
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5/22/2012
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(1)
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M
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21731
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3/3/2009
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2/3/2019
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Common Stock
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21731
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$9.0800
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11504
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D
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Incentive Stock Option (right to buy)
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$3.4900
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5/22/2012
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(1)
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M
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1253
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1/16/2003
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12/16/2012
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Common Stock
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1253
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$9.0800
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0
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D
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Incentive Stock Option (right to buy)
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$3.6300
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5/22/2012
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(1)
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M
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9862
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3/2/2010
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2/2/2020
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Common Stock
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9862
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$9.0800
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26842
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D
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Incentive Stock Option (right to buy)
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$4.4600
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5/22/2012
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(1)
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M
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21780
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3/8/2008
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2/8/2018
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Common Stock
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21780
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$9.0800
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0
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D
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Incentive Stock Option (right to buy)
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$6.7700
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5/22/2012
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(1)
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M
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15334
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3/16/2006
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2/16/2016
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Common Stock
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15334
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$9.0800
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0
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D
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Incentive Stock Option (right to buy)
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$6.8200
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5/22/2012
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(1)
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M
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1115
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3/7/2011
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2/7/2021
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Common Stock
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1115
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$9.0000
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22256
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D
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Incentive Stock Option (right to buy)
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$7.4300
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5/22/2012
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(1)
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M
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15729
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3/2/2007
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2/2/2017
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Common Stock
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15729
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$9.0800
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0
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D
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Incentive Stock Option (right to buy)
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$8.5000
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5/22/2012
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(1)
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M
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30000
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7/1/2003
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6/21/2012
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Common Stock
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30000
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$9.0800
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0
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D
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Explanation of Responses:
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(
1)
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Mr. Mitro exercised options for 116,804 of Issuer's shares under his Employee Stock Option (as shown in Table II of this Form 4). Of that amount, Mr. Mitro elected to have the Issuer withhold 70,837 shares to cover the exercise price in connection with the exercise of his Employee Stock Option (as shown in Table II of the Form 4). Mr. Mitro continues to hold the net remaining amount of 45,967 shares.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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MITRO THOMAS A
50 TECHNOLOGY
IRVINE, CA 92618
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VP, Sales & Marketing
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Signatures
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/s/ Brian G. Drazba Attorney-in-fact For: Thomas A. Mitro
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5/22/2012
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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