SEC Form 4 · accession 0001136261-18-000095
PERNIX THERAPEUTICS HOLDINGS, INC. · PTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kenneth Pina
Officer — SVP, GC & Compliance Off.
Period of report
Jan 5, 2018
Accepted (ET)
Apr 9, 2018 · 4:16 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, 2018 | F | 446 | $2.74 | D | 15,554 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1No shares were sold - these shares were withheld by the Issuer to satisfy tax withholding requirements in connection with the insider's exercise of his withholding right following the vesting of restricted share units ("RSUs").
- F2Consists of (i) 804 shares of common stock, (ii) the unvested amount of previously awarded RSUs that vest in three equal installments of 1,250 shares, with the next installment vesting on January 5, 2019, (iii) the unvested amount of previously awarded RSUs that vest in four equal installments of 1,500 shares, with the next installment vesting on August 8, 2018 and (iv) the unvested amount of previously awarded RSUs that vest in four equal annual installments of 1,250, with the next installment vesting on March 15, 2019.