SEC Form 4 · accession 0001136261-17-000182
PERNIX THERAPEUTICS HOLDINGS, INC. · PTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael Joseph Golembiewski
Officer — VP Finance, Controller, CAO
Period of report
Aug 8, 2017
Accepted (ET)
Aug 9, 2017 · 6:23 pm EDT
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 | Aug 8, 2017 | A | 3,300 | $0.00 | A | 3,300 | 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 | $2.92 | Aug 8, 2017 | A | 10,000 | A | — | Aug 8, 2027 | Common Stock | 10,000 | 10,000 | D |
Explanation of responses
- F1Represents a grant of restricted share units that vest in four equal annual installments of 825 shares over a four-year period, with the first installment vesting on August 8, 2018, which is the one-year anniversary of the grant date.
- F2The stock option vests in four equal annual installments of 2,500 shares over a four-year period, with the first installment vesting at the close of business on August 8, 2018, which is the one-year anniversary of the grant date.