POZEN INC /NC 4

Accession 0001209191-14-067467

CIK 0001059790operating

View on SEC.gov Company Profile

Filed

Nov 6, 7:00 PM ET

Accepted

Nov 7, 9:22 PM ET

Size

19.6 KB

Accession

0001209191-14-067467

Insider Transaction Report

Form 4

Period: 2014-11-05

POZEN INC /NCPOZN

PLACHETKA JOHN R

DirectorPresident, CEO and Chairman10% Owner

Transactions

Exercise/Conversion
Stock Option
2014-11-05−15,063→ 134,088 total
Exercise: $4.64Exp: 2019-03-13→ Common Stock (15,063 underlying)
Sale
Common Stock
2014-11-05$8.91/sh−15,063$134,211→ 37,580 total
Sale
Common Stock
2014-11-06$9.16/sh−34,937$320,023→ 37,580 total
Exercise/Conversion
Stock Option
2014-11-06−34,937→ 99,151 total
Exercise: $4.64Exp: 2019-03-13→ Common Stock (34,937 underlying)
Exercise/Conversion
Common Stock
2014-11-05$4.64/sh+15,063$69,892→ 52,643 total
Exercise/Conversion
Common Stock
2014-11-06$4.64/sh+34,937$162,108→ 72,517 total

Holdings

Common Stock
(indirect: By Trust)
221,910
Common Stock
(indirect: By LLC)
1,157,808
Common Stock
(indirect: By Trust)
22,631
Common Stock
693,126
Common Stock
(indirect: By Trust)
1,554,102

Footnotes (10)

[F1]Option 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.
[F10]The options vest in four equal annual installments, with the initial vesting date occurring on March 15, 2012.
[F2]The price in column 4 is a weighted average price. The prices actually received by the reporting person in this transaction range from $8.77 to $9.05.
[F3]The 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.
[F4]The price in column 4 is a weighted average price. The prices actually received by the reporting person in this transaction range from $9.10 to $9.31.
[F5]Shares underlying restricted stock units.
[F6]Beneficially owned by John R. Plachetka, indirectly, through the Revocable Declaration Trust u/a 1/31/2000, John R. Plachetka, Trustee.
[F7]Beneficially owned by John R. Plachetka, indirectly, through the Revocable Declaration Trust u/a 1/31/2000, Clare A. Plachetka, Trustee.
[F8]Beneficially 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.
[F9]Beneficially 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.

Documents

1 file

4
doc4.xmlPrimary
FORM 4 SUBMISSION

Issuer

POZEN INC /NC

CIK 0001059790

→

Entity typeoperating

Related Parties

filerCIK 0001059790

Filing Metadata

Form type: 4
Filed: Nov 6, 7:00 PM ET
Accepted: Nov 7, 9:22 PM ET
Size: 19.6 KB

View on SEC.gov