SEC Form 4 · accession 0001209191-15-001744
POZEN INC /NC · POZN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John R Plachetka
Officer — President, CEO and Chairman · Director · 10% Owner
Period of report
Dec 31, 2014
Accepted (ET)
Jan 5, 2015 · 9:18 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 | Dec 31, 2014 | A | 79,887 | $0.00 | A | 773,013 | D | |
| Common StockF2 | holding | — | — | — | 1,554,102 | I | By Trust | |
| Common StockF3 | holding | — | — | — | 221,910 | I | By Trust | |
| Common StockF4 | holding | — | — | — | 1,157,808 | I | By Silver Hill Investments, LLC | |
| Common StockF5 | holding | — | — | — | 22,631 | I | By Trust | |
| Common Stock | holding | — | — | — | 37,580 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Restricted Stock Units granted pursuant to the POZEN Inc. 2010 Omnibus Equity Compensation Plan, which vest 25% annually over four years commencing upon the first anniversary of the date of grant, subject to continued employment or service to the Company.
- F2Beneficially owned by John R. Plachetka, indirectly, through the Revocable Declaration Trust u/a 1/31/2000, John R. Plachetka, Trustee.
- F3Beneficially owned by John R. Plachetka, indirectly, through the Revocable Declaration Trust u/a 1/31/2000, Clare A. Plachetka, Trustee.
- F4Beneficially 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.
- F5Beneficially 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.