Sec Form 4 Filing - LESLIE JAMES @ Dougherty's Pharmacy, Inc. - 2017-12-27

Insider filing report for Changes in Beneficial Ownership
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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).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
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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1. Name and Address of Reporting Person
LESLIE JAMES
2. Issuer Name and Ticker or Trading Symbol
Dougherty's Pharmacy, Inc. [ MYDP]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X __ Director _____ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last) (First) (Middle)
5924 ROYAL LANE, SUITE 250
3. Date of Earliest Transaction (MM/DD/YY)
12/27/2017
(Street)
DALLAS, TX75230
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 01/01/2018 M 5,100 A 1,630,740 D
Common Stock 12/27/2017 J( 2 ) 32,513 A 1,666,253 D
Common Stock 12/27/2017 J( 2 ) 3,099 A 1,666,253 I See Footnote ( 3 )
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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
(MM/DD/YY)
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)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Restricted Stock Units ( 4 ) ( 5 ) 01/01/2018 M 5,100 ( 6 ) ( 6 ) Common Stock 5,100 $ 0 30,350 D
Restricted Stock Units ( 5 ) 01/01/2018 M 20,000 ( 6 ) ( 6 ) Common Stock 20,000 $ 0 50,350 D
Restricted Stock Units ( 4 ) 12/27/2017 J( 2 ) 600 ( 6 ) ( 6 ) Common Stock 600 $ 0 50,950 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
LESLIE JAMES
5924 ROYAL LANE, SUITE 250
DALLAS, TX75230
X
Signatures
/s/ Mark S. Heil, by Power of Attorney 01/08/2018
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Acquired pursuant to automatic vesting of Restricted Stock Units issued under the Issuer's Restricted Share Unit Incentive Plan.
( 2 )Acquired pursuant to the Issuer's declaration of a common stock dividend effective as of December 27, 2017.
( 3 )Comprised of 1,554 shares held in trust for the benefit of James Josiah Leslie, and 1,545 shares held in trust for the benefit of Jenna L. Leslie. Mr. Leslie disclaims beneficial ownership for all of these 3,099 shares.
( 4 )Issued under the Issuer's Restricted Share Unit Incentive Plan.
( 5 )Converted pursuant to automatic vesting of Restricted Stock Units issued under the Issuer's Restricted Share Unit Incentive Plan.
( 6 )Restricted Stock Units vest periodically through January 1, 2022.

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* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
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