SEC Form 4 · accession 0001104659-15-054906
POZEN INC /NC · POZN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Neal Franklin Fowler
Director
Period of report
Jul 28, 2015
Accepted (ET)
Jul 30, 2015 · 5:07 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001059790
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jul 28, 2015 | M | 27,483 | $5.97 | A | 52,774 | D | |
| Common Stock | Jul 28, 2015 | M | 6,107 | $3.84 | A | 58,881 | D | |
| Common Stock | Jul 28, 2015 | M | 6,107 | $5.40 | A | 64,988 | D | |
| Common Stock | Jul 28, 2015 | M | 6,107 | $4.44 | A | 71,095 | D | |
| Common Stock | Jul 28, 2015 | F | 20,365 | $12.17 | D | 50,730 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F2 | $5.97 | Jul 28, 2015 | M | 27,483 | D | Jun 9, 2011 | — | Common Stock | 27,483 | 0 | D |
| Stock Option (right to buy)F2 | $3.84 | Jul 28, 2015 | M | 6,107 | D | Jun 7, 2012 | — | Common Stock | 6,107 | 0 | D |
| Stock Option (right to buy)F2 | $5.40 | Jul 28, 2015 | M | 6,107 | D | Jun 6, 2013 | — | Common Stock | 6,107 | 0 | D |
| Stock Option (right to buy)F2 | $4.44 | Jul 28, 2015 | M | 6,107 | D | Jun 4, 2014 | — | Common Stock | 6,107 | 0 | D |
Explanation of responses
- F1Represents shares of the Registrant's common stock delivered as payment of exercise price in connection with the net exercise of stock options by the reporting person on July 28, 2015. Such shares are to be delivered to the Registrant's treasury account.
- F2The option shall expire on the earlier of the third anniversary of the termination of the reporting person's services, or ten years following the date of the grant.