13G Filing: Highbridge Capital Management and Pernix Therapeutics Holdings Inc. (PTX)

Item 4.

OWNERSHIP.

(a) Amount beneficially owned:

As of the date hereof, (i) Highbridge International LLC may be deemed to beneficially own 229,419 shares of Common Stock and (ii) Highbridge Capital Management, LLC, as the trading manager of Highbridge International LLC, may be deemed to be the beneficial owner of 229,419 shares of Common Stock held by Highbridge International LLC.

On the date of the event which requires the filing of this Schedule 13G, each of the Reporting Persons may have been deemed
to be the beneficial owner of more than five percent of the shares of Common Stock.

(b) Percent of class:

The percentages used herein and in the rest of this Schedule 13G are calculated based upon 11,116,439 shares of Common Stock reported to be outstanding as of July 21, 2017 in the Company’s Quarterly Report on Form 10-Q for the quarterly period ended June 30, 2017 filed with the Securities and Exchange Commission on July 27, 2017. Therefore, as of the date hereof based on the outstanding shares of Common Stock, (i) Highbridge International LLC may be deemed to beneficially own approximately 2.06% of the outstanding shares of Common Stock of the Company and (ii) Highbridge Capital Management, LLC may be deemed to beneficially own approximately 2.06% of the outstanding shares of Common Stock of the Company.

The foregoing should not be construed in and of itself as an admission by any Reporting Person as to beneficial ownership of the shares of Common Stock held by Highbridge International LLC.

(c) Number of shares as to which such person has:

(e)	¨	An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E);
(f)	¨	Employee Benefit Plan or Endowment Fund in accordance with Rule 13d-1(b)(1)(ii)(F),
(g)	¨	Parent Holding Company or control person in accordance with Rule 13d-1(b)(1)(ii)(G),
(h)	¨	Savings Association as defined in Section 3(b) of the Federal Deposit Insurance Act,
(i)	¨	A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act;
(j)	¨	A non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J);
(k)	¨	Group, in accordance with Rule 13d-1(b)(1)(ii)(K).

13G Filing: Highbridge Capital Management and Pernix Therapeutics Holdings Inc. (PTX)

Published on August 1, 2017 at 2:47 pm by Insider Monkey Staff in Hedge Funds

Page 5 of 9 – SEC Filing

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