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
  1. 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.
  2. 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.
  3. 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.