SEC Form 4 · accession 0001140361-15-023276
POZEN INC /NC · POZN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gilda Marie Thomas
Officer — See Remarks
Period of report
Jun 2, 2015
Accepted (ET)
Jun 4, 2015 · 6:32 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 | Jun 2, 2015 | M | 2,830 | $5.33 | A | 56,605 | D | |
| Common StockF2,F3 | Jun 2, 2015 | S | 2,830 | $7.512 | D | 53,775 | D | |
| Common Stock | Jun 2, 2015 | M | 4,125 | $5.33 | A | 57,900 | D | |
| Common StockF2,F3 | Jun 2, 2015 | S | 4,125 | $7.512 | D | 53,775 | D | |
| Common Stock | Jun 3, 2015 | M | 16,600 | $5.33 | A | 70,375 | D | |
| Common StockF2,F4 | Jun 3, 2015 | S | 16,600 | $7.532 | D | 53,775 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF5 | $5.33 | Jun 2, 2015 | M | 2,830 | D | — | Mar 15, 2020 | Common Stock | 2,830 | 20,765 | D |
| Stock OptionF5 | $5.33 | Jun 2, 2015 | M | 4,125 | D | — | Mar 15, 2020 | Common Stock | 4,125 | 16,640 | D |
| Stock OptionF5 | $5.33 | Jun 3, 2015 | M | 16,600 | D | — | Mar 15, 2020 | Common Stock | 16,600 | 40 | D |
Explanation of responses
- F1Option exercises 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 $7.51 to 7.53.
- 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.
- F4The price in column 4 is a weighted average price. The prices actually received by the reporting person in this transaction range from $7.52 to 7.56.
- F5The options vested in four equal annual installments, with the initial vesting date occurring on March 15, 2011.
Remarks
Senior VP, General Counsel and Secretary