SEC Form 4/A · accession 0001136261-18-000092
PERNIX THERAPEUTICS HOLDINGS, INC. · PTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Kenneth Pina
Officer — SVP, GC & Compliance Off.
Period of report
Jan 5, 2017
Accepted (ET)
Apr 9, 2018 · 1:01 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,F2 | Jan 5, 2017 | A | 5,000 | $0.00 | A | 5,000 | 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)F1,F3 | $2.19 | Jan 5, 2017 | A | 15,000 | A | — | Jan 5, 2027 | Common Stock | 15,000 | 15,000 | D |
Explanation of responses
- F1This amendment is being filed to correct the date of grant of the restricted stock units ("RSUs") and the exercise price and date of grant of the stock option granted to the Reporting Person on January 5, 2017, which were incorrectly listed in the original filing.
- F2Represents a grant of RSUs that vest in four equal installments of 1,250 shares over a four-year period, with the first installment vesting on January 5, 2018 which is the one-year anniversary of the grant date.
- F3The stock option vests in annual installments of 3,750 shares over a four-year period, with the first installment vesting on January 5, 2018 which is the one-year anniversary of the grant date.