SEC Form 4 · accession 0001136261-16-000652
PERNIX THERAPEUTICS HOLDINGS, INC. · PTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Graham G Miao
Officer — PRESIDENT AND CFO · Director
Period of report
Nov 3, 2016
Accepted (ET)
Nov 7, 2016 · 6:06 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001024126
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| COMMON STOCKF1 | Nov 3, 2016 | A | 65,500 | $0.00 | A | 65,500 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F2 | $3.15 | Nov 3, 2016 | A | 95,000 | A | — | Nov 2, 2026 | Common Stock | 95,000 | 95,000 | D |
Explanation of responses
- F1Represents a grant of restricted share units that vest in three equal installments of approximately 21,833 shares with the first installment vesting on the first anniversary of July 26, 2016, which is the vesting start date, and the final installment vesting on the third anniversary of the vesting start date.
- F2The stock option vests in annual installments of approximately 31,666 shares, commencing on the first anniversary of July 26, 2016, which is the vesting start date, with the final installment vesting on the third anniversary of the vesting start date.