SEC Form 4 · accession 0001104659-15-064981
POZEN INC /NC · POZN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John E Barnhardt
Officer — VP, Finance and Adminstration
Period of report
Sep 10, 2015
Accepted (ET)
Sep 14, 2015 · 4:28 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 | Sep 10, 2015 | M | 9,161 | $3.77 | A | 61,273 | D | |
| Common StockF1,F2 | Sep 10, 2015 | S | 9,161 | $8.78 | D | 52,112 | D | |
| Common Stock | Sep 10, 2015 | M | 9,161 | $3.87 | A | 61,273 | D | |
| Common StockF1,F2 | Sep 10, 2015 | S | 9,161 | $8.78 | D | 52,112 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF3 | $3.77 | Sep 10, 2015 | M | 9,161 | D | — | Mar 15, 2021 | Common Stock | 9,161 | 0 | D |
| Stock OptionF4 | $3.87 | Sep 10, 2015 | M | 9,161 | D | — | Mar 15, 2022 | Common Stock | 9,161 | 9,161 | D |
Explanation of responses
- F1The price in column 4 is a weighted average price. The prices actually received by the reporting person in this transaction range from $8.75 to $8.80.
- F2The reporting person has provided to the issuer, and the issuer will provide to any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range reported.
- F3The option vested in four equal annual installments, with the initial vesting date occurring on March 15, 2012.
- F4The option vests in two equal annual installments, with the initial vesting date occurring on March 15, 2015.