SEC Form 4 · accession 0001104659-15-083386
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
Dec 3, 2015
Accepted (ET)
Dec 7, 2015 · 5:54 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 StockF1,F2,F3 | Dec 3, 2015 | S | 23,479 | $8.136 | D | 1,232,623 | I | By Trust |
| Common Stock | holding | — | — | — | 506,799 | D | ||
| Common StockF4 | holding | — | — | — | 218,910 | I | By Trust | |
| Common StockF5 | holding | — | — | — | 1,157,808 | I | By Silver Hill Investments, LLC | |
| Common StockF6 | holding | — | — | — | 22,631 | I | By Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Stock option exercise and open market sales pursuant to a 10b5-1 trading plan adopted by the Reporting Person in accordance with rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
- F2The price in column 4 is a weighted average price. The prices actually received by the reporting person in this transaction range from $8.07 to $8.175.
- F3Beneficially owned by John R. Plachetka, indirectly, through the Revocable Declaration Trust u/a 1/31/2000, John R. Plachetka, Trustee.
- F4Beneficially owned by John R. Plachetka, indirectly, through the Revocable Declaration Trust u/a 1/31/2000, Clare A. Plachetka, Trustee.
- F5Beneficially 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.
- F6Beneficially 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.