SEC Filing : Catalyst Pharmaceutical

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SEC FORM 3 SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person^*

Elsbernd Brian

(Last)

(First)

(Middle)

355 ALHAMBRA CIRCLE

SUITE 1250

(Street)

CORAL GABLES

33134

(City)

(State)

(Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
12/27/2018

3. Issuer Name and Ticker or Trading Symbol
CATALYST PHARMACEUTICALS, INC. [ CPRX ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
Chief Compliance/Legal Officer

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
Options to purchase Common Stock	⁽¹⁾	02/16/2023	Common Stock	65,000	1.85	D
Options to purchase Common Stock	⁽²⁾	06/15/2023	Common Stock	40,000	0.79	D
Options to purchase Common Stock	⁽³⁾	01/03/2024	Common Stock	50,000	1.13	D
Options to purchase Common Stock	⁽⁴⁾	01/02/2025	Common Stock	60,000	4.01	D
Options to purchase Common Stock	⁽⁵⁾	12/19/2025	Common Stock	225,000	2.24	D

Explanation of Responses:

1. Options have vested or will vest in three equal tranches on February 16, 2017, 2018 and 2019.

2. Options vested in two equal tranches on June 16, 2017 and 2018.

3. Options have vested or will vest in three equal tranches on January 3, 2018, 2019 and 2020.

4. Options will vest in three equal tranches on January 2, 2019, 2020 and 2021.

5. Options will vest in three equal tranches on December 19, 2019, 2020 and 2021.

	/s/ Brian Elsbernd	01/04/2019
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.