SEC Form 4 · accession 0001136261-18-000183
PERNIX THERAPEUTICS HOLDINGS, INC. · PTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John A Sedor
Officer — Chairman of Board and CEO · Director
Period of report
Jul 26, 2018
Accepted (ET)
Jul 27, 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 | Jul 26, 2018 | F | 11,982 | $2.53 | D | 133,825 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents restricted stock units ("RSU") of Pernix Therapeutics Holdings, Inc. withheld to satisfy tax withholding obligations in connection with the vesting of RSUs, exempt under Rule 16b-3.
- F2Consists of (i) 62,125 shares of common stock, (ii) the unvested amount of previously-awarded RSUs with the remaining 43,700 shares vesting on July 26, 2019, (iii) the unvested amount of previously awarded RSUs that vest in four equal annual installments of 2,500, with the first installment vesting on August 8, 2018 and (iv) the unvested amount of previously awarded RSUs that vest in four equal annual installments of 4,500, with the first installment vesting on March 15, 2019.