13D Filing: Cetus Capital Ii, Llc and Pernix Therapeutics Holdings, Inc. (PTX)

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Page 2 of 10 – SEC Filing

 

CUSIP No. 71426V108

 

 

1

Name of Reporting Persons
Cetus Capital III, L.P.

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 x

 

 

3

SEC Use Only

 

 

4

Source of Funds
WC

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Delaware

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
233,545

 

8

Shared Voting Power
0

 

9

Sole Dispositive Power
233,545

 

10

Shared Dispositive Power
0

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
233,545

 

 

12

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares   o

 

 

13

Percent of Class Represented by Amount in Row (11)
0.38% (1)

 

 

14

Type of Reporting Person
OO

 


(1) Based on 61,127,615 shares of common stock outstanding as of March 3, 2016, as reported in the Annual Report on Form 10-K filed by the Issuer on March 10, 2016.

 

1


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