Filing Details
- Accession Number:
- 0001193805-14-000059
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2014-01-14 19:04:00
- Reporting Period:
- 2013-09-12
- Filing Date:
- 2014-01-14
- Accepted Time:
- 2014-01-14 19:04:00
- Original Submission Date:
- 2013-09-16
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1438533 | Retrophin Inc. | RTRX | Pharmaceutical Preparations (2834) | 262383102 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1525354 | Martin Shkreli | C/O Retrophin, Inc. 777 Third Avenue, 22Nd Floor New York NY 10017 | Chief Executive Officer | Yes | Yes | Yes | 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 | 2013-09-12 | 5,556 | $4.50 | 2,665,596 | No | 4 | P | Direct | |
Common Stock | Acquisiton | 2013-09-12 | 2,904 | $0.00 | 2,668,500 | No | 4 | J | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Direct | |
No | 4 | J | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Common Stock Purchase Warrants | Acquisiton | 2013-09-12 | 2,778 | $0.00 | 2,778 | $6.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
2,778 | 2013-09-12 | 2018-08-15 | No | 4 | P | Direct |
Footnotes
- On September 12, 2013, in connection with a private placement of the Issuer's securities, the Reporting Person acquired 5,556 shares of the Issuer's common stock, par value $0.0001 per share, at a purchase price of $4.50 per share, and Common Stock Purchase Warrants to purchase up to an aggregate of 2,778 shares of common stock, and received an additional 2,904 shares in connection with the waiver of certain rights under a registration rights agreement. The aggregate purchase price paid by the Reporting Person in the transaction was $25,000.
- This Amendment No. 1 to the Form 4 filed with the Commission on September 16, 2013 is being filed solely to reflect the final number of shares and warrants received by the Reporting Person in connection with such private placement transaction.