Filing Details
- Accession Number:
- 0001209191-14-053864
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-08-21 17:14:51
- Reporting Period:
- 2014-08-19
- Filing Date:
- 2014-08-21
- Accepted Time:
- 2014-08-21 17:14:51
- 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 |
|---|---|---|---|---|---|---|---|
| 1135011 | R John Plachetka | C/O Pozen Inc. 1414 Raleigh Road, Suite 400 Chapel Hill NC 27517 | President, Ceo And Chairman | Yes | Yes | 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 | 2014-08-19 | 21,776 | $5.78 | 59,356 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-08-19 | 21,776 | $7.86 | 37,580 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2014-08-19 | 8,224 | $3.77 | 45,804 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-08-19 | 8,224 | $7.86 | 37,580 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2014-08-20 | 20,000 | $3.77 | 57,580 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-08-20 | 20,000 | $7.67 | 37,580 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | 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 | Disposition | 2014-08-19 | 21,776 | $0.00 | 21,776 | $5.78 |
| Common Stock | Stock Option | Disposition | 2014-08-19 | 8,224 | $0.00 | 8,224 | $3.77 |
| Common Stock | Stock Option | Disposition | 2014-08-20 | 20,000 | $0.00 | 20,000 | $3.77 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2015-01-03 | No | 4 | M | Direct | |
| 201,531 | 2021-03-15 | No | 4 | M | Direct | |
| 181,531 | 2021-03-15 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 693,126 | Direct | |
| Common Stock | 1,779,102 | Indirect | By Trust |
| Common Stock | 221,910 | Indirect | By Trust |
| Common Stock | 1,157,808 | Indirect | By Silver Hill Investments, LLC |
| Common Stock | 22,631 | Indirect | By Trust |
Footnotes
- 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.
- The price in column 4 is a weighted average price. The prices actually received by the reporting person in this transaction range from $7.85 to $7.90.
- 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.
- The price in column 4 is a weighted average price. The prices actually received by the reporting person in this transaction range from $7.63 to $7.82.
- Shares underlying restricted stock units.
- Beneficially owned by John R. Plachetka, indirectly, through the Revocable Declaration Trust u/a 1/31/2000, John R. Plachetka, Trustee.
- Beneficially owned by John R. Plachetka, indirectly, through the Revocable Declaration Trust u/a 1/31/2000, Clare A. Plachetka, Trustee.
- 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.
- 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.
- The options vested in four equal annual installments, with the initial vesting date occurring on January 3, 2006.
- The options vest in four equal annual installments, with the initial vesting date occurring on March 15, 2012.
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