Filing Details
- Accession Number:
- 0001209191-20-051611
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-09-22 21:15:36
- Reporting Period:
- 2020-09-18
- Accepted Time:
- 2020-09-22 21:15:36
- 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 |
---|---|---|---|---|---|---|---|
1763494 | M Eric Dube | 3721 Valley Centre Dr, #200 San Diego CA 92130 | Chief Executive Officer | 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 | 2020-09-18 | 25,000 | $0.00 | 102,500 | No | 4 | A | Direct | |
Common Stock | Acquisiton | 2020-09-18 | 3,000 | $0.00 | 105,500 | No | 4 | A | Direct | |
Common Stock | Disposition | 2020-09-21 | 9,240 | $19.28 | 96,260 | No | 4 | S | Direct | |
Common Stock | Disposition | 2020-09-21 | 1,565 | $19.29 | 94,695 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | A | Direct | |
No | 4 | A | Direct | |
No | 4 | S | Direct | |
No | 4 | S | Direct |
Footnotes
- On January 4, 2019, the reporting person was granted performance restricted stock units (PRSUs) covering 50,000 shares of the Issuer's common stock, which vest upon the satisfaction of certain performance criteria. On September 18, 2020, a portion of the PRSUs vested upon the Issuer's confirmation that the first 280 patients in the sparsentan PROTECT Phase 3 Study had been enrolled.
- On May 9, 2019, the reporting person was granted performance restricted stock units (PRSUs) covering 6,000 shares of the Issuer's common stock, which vest upon the satisfaction of certain performance criteria. On September 18, 2020, a portion of the PRSUs vested upon the Issuer's confirmation that the first 280 patients in the sparsentan PROTECT Phase 3 Study had been enrolled.
- Represents the number of shares required to be sold by the Reporting Person to cover the tax withholding obligation in connection with the settlement of vested performance restricted stock units. This sale is mandated by the Issuer's election under its equity incentive plans to require the Reporting Person to fund this tax withholding obligation by completing a "sell to cover" transaction with a brokerage firm designated by the Issuer. This sale does not represent a discretionary trade by the Reporting Person.