Filing Details
- Accession Number:
- 0001181431-12-051072
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-09-18 18:00:50
- Reporting Period:
- 2012-09-14
- Filing Date:
- 2012-09-18
- Accepted Time:
- 2012-09-18 17:00:50
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1059790 | Pozen Inc | POZN | Pharmaceutical Preparations (2834) | 621657552 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1208570 | Jr B Kenneth Lee | C/O Pozen Inc. 1414 Raleigh Road, Suite 400 Chapel Hill NC 27517 | Yes | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2012-09-14 | 1,667 | $5.15 | 15,667 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2012-09-14 | 20,000 | $5.18 | 35,667 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2012-09-14 | 15,871 | $6.49 | 19,796 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (right to buy) | Disposition | 2012-09-14 | 1,667 | $0.00 | 1,667 | $5.15 |
| Common Stock | Stock Option (right to buy) | Disposition | 2012-09-14 | 20,000 | $0.00 | 20,000 | $5.18 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2012-12-02 | No | 4 | M | Direct | |
| 0 | 2013-01-02 | No | 4 | M | Direct |
Footnotes
- Reflects the weighted average price of 15,871 shares of common stock of Pozen Inc. sold by the reporting person in multiple transactions on 9/14/12 with sale prices ranging from $6.45 to $6.5350 per share. The reporting person undertakes to provide upon request by the U.S. Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- Does not include 5,000 Restricted Stock Units of varying vesting schedules.
- The option vested in four equal annual installments, with the initial vesting date occurring on December 2, 2003 and with the option expiring on December 2, 2012.
- The option vested in four equal annual installments, with the initial vesting date occurring on January 2, 2004 and with the option expiring on January 2, 2013.
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