SEC Form 4 · accession 0001354488-15-003955
PERNIX THERAPEUTICS HOLDINGS, INC. · PTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steve Elms
Director
Period of report
Aug 15, 2015
Accepted (ET)
Aug 18, 2015 · 6:26 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001024126
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Options (right to buy)F2,F1 | $4.70 | Aug 14, 2015 | P | 40,000 | A | Aug 14, 2016 | Aug 14, 2025 | Common Stock | 40,000 | 40,000 | D |
Explanation of responses
- F1The stock options are exercisable in 1/4 annual increments beginning the date indicated and ending on the fourth anniversary thereof.
- F2These stock options are held by Mr. Elms for the benefit of Aisling Capital LLC. Mr. Elms disclaims beneficial ownership of these securities, and this report is not an admission that he is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of his pecuniary interest therein.