SEC Form 4 · accession 0001136261-18-000213
PERNIX THERAPEUTICS HOLDINGS, INC. · PTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Angus W. Smith
Officer — SVP, CBO & Principal Fin Off
Period of report
Aug 8, 2018
Accepted (ET)
Aug 10, 2018 · 4:10 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 | Aug 8, 2018 | F | 282 | $1.86 | D | 8,018 | 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) 543 shares of common stock, (ii) the unvested amount of previously-awarded RSUs that vest in four equal annual installments of 825 shares, with the second installment vesting on August 8, 2019 and (iii) the unvested amount of previously-awarded RSUs that vest in four equal installments of 1,250 shares, with the first installment vesting on March 15, 2019.