SEC Form 4 · accession 0001136261-19-000007
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 & Sec
Period of report
Jan 5, 2019
Accepted (ET)
Jan 8, 2019 · 4:15 pm EST
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, 2019 | F | 417 | $0.449 | D | 14,726 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents restricted stock units ("RSUs") 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) 2,726 shares of common stock owned directly, (ii) the unvested amount of previously-awarded RSUs that vest in four equal annual installments of 1,250 shares with the third installment vesting on January 5, 2020, (iii) the unvested amount of previously-awarded RSUs that vest in four equal annual installments of 1,500 shares, with the second installment vesting on August 8, 2019 and (iv) 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.