SEC Form 4 · accession 0001104659-15-079338
POZEN INC /NC · POZN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John R Plachetka
10% Owner
Period of report
Nov 13, 2015
Accepted (ET)
Nov 16, 2015 · 4:49 pm EST
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 StockF2,F3,F4 | Nov 13, 2015 | S | 150,000 | $7.001 | D | 1,404,102 | I | By Trust |
| Common StockF1 | holding | — | — | — | 46,782 | D | ||
| Common StockF5 | holding | — | — | — | 221,910 | I | By Trust | |
| Common StockF6 | holding | — | — | — | 1,157,808 | I | By Silver Hill Investments, LLC | |
| Common StockF7 | holding | — | — | — | 22,631 | I | By Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares underlying restricted stock units.
- F2The price in column 4 is a weighted average price. The prices actually received by the reporting person in this transaction range from $7.00 to $7.20.
- F3The 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.
- F4Beneficially owned by John R. Plachetka, indirectly, through the Revocable Declaration Trust u/a 1/31/2000, John R. Plachetka, Trustee.
- F5Beneficially owned by John R. Plachetka, indirectly, through the Revocable Declaration Trust u/a 1/31/2000, Clare A. Plachetka, Trustee.
- F6Beneficially owned by John R. Plachetka, indirectly, as manager of Silver Hill Investments, LLC. Silver Hill Investments LLC is 50% owned by the Family Trust under the John R. Plachetka Irrevocable Trust dated 4/20/2000, Wachovia Bank N.A. and Clare A. Plachetka, Trustees (the "Family Trust"); 40% owned by the Revocable Declaration of Trust u/a 1/31/2000, John R. Plachetka, Trustee; and 10% owned by the Revocable Declaration of Trust u/a 1/31/2000, Clare A. Plachetka, Trustee.
- F7Beneficially owned by John R. Plachetka, indirectly, through the Family Trust. The shares in the Family Trust are held in trust for the benefit of Clare A. Plachetka and John R. and Clare A. Plachetka's children.