SEC Form 4 · accession 0001209191-15-027208
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
Mar 13, 2015
Accepted (ET)
Mar 17, 2015 · 6:04 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 | Mar 13, 2015 | M | 25,000 | $3.77 | A | 76,304 | D | |
| Common StockF2,F3 | Mar 13, 2015 | S | 25,000 | $7.5013 | D | 51,304 | D | |
| Common Stock | Mar 16, 2015 | M | 1,445 | $3.77 | A | 52,749 | D | |
| Common Stock | Mar 16, 2015 | S | 1,445 | $7.55 | D | 51,304 | D | |
| Common Stock | Mar 16, 2015 | M | 1,509 | $4.64 | A | 52,813 | D | |
| Common Stock | Mar 16, 2015 | S | 1,509 | $7.55 | D | 51,304 | D | |
| Common Stock | Mar 17, 2015 | M | 22,046 | $4.64 | A | 73,350 | D | |
| Common StockF3,F4 | Mar 17, 2015 | S | 22,046 | $7.5058 | D | 51,304 | 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 | $3.77 | Mar 13, 2015 | M | 25,000 | D | — | Mar 15, 2021 | Common Stock | 25,000 | 15,147 | D |
| Stock OptionF5 | $3.77 | Mar 16, 2015 | M | 1,445 | D | — | Mar 15, 2021 | Common Stock | 1,445 | 13,702 | D |
| Stock OptionF6 | $4.64 | Mar 16, 2015 | M | 1,509 | D | — | Feb 13, 2019 | Common Stock | 1,509 | 59,566 | D |
| Stock OptionF6 | $4.64 | Mar 17, 2015 | M | 22,046 | D | — | Feb 13, 2019 | Common Stock | 22,046 | 37,520 | 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 $7.5 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 $7.5 to $7.54.
- F5The option vests in four equal annual installments, with the initial vesting date occurring on March 15, 2012.
- F6The option vests in four equal annual installments, with the initial vesting date occurring on March 13, 2010.
Remarks
Sr. VP, Gen. Cnsl. and Secretary