SEC Form 4 · accession 0001136261-18-000080

PERNIX THERAPEUTICS HOLDINGS, INC. · PTX

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Interim VP Fin, PAO & Controll

Period of report

Mar 15, 2018

Accepted (ET)

Mar 16, 2018 · 4:24 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 Stock^F1,F2	Mar 15, 2018	A	2,600	$0.00	A	3,700	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Option (right to buy)^F3	$2.46	Mar 15, 2018	A	7,800	A	—	Mar 14, 2028	Common Stock	7,800	7,800	D

F1Represents a grant of restricted share units ("RSUs") that vest in four equal annual installments of 650 shares over a four-year period, with the first installment vesting on March 15, 2019, which is the one-year anniversary of the grant date.
F2Consists of (i) the unvested amount of previously awarded RSUs that vest in four equal installments of 275 shares, with the first installment vesting on August 8, 2018, which is the one-year anniversary of the grant date, and (ii) and the unvested amount of the RSUs that vest as described in footnote 1 above.
F3The stock option vests in four equal annual installments of 1,950 shares over a four-year period, with the first installment vesting at the close of business on March 15, 2019, which is the one-year anniversary of the grant date.