Filing Details

Accession Number:
0001354488-14-001399
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-03-25 17:16:31
Reporting Period:
2014-03-03
Filing Date:
2014-03-25
Accepted Time:
2014-03-25 17:16:31
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1024126 Pernix Therapeutics Holdings Inc. PTX Pharmaceutical Preparations (2834) 330724736
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1486430 Jr. Edward James Smith 700 Camp St.
New Orleans LA 70130
No No 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 Disposition 2014-03-03 15,000 $3.59 4,987,704 No 4 S Direct
Common Stock Disposition 2014-03-04 15,000 $3.57 4,972,704 No 4 S Direct
Common Stock Disposition 2014-03-05 15,000 $3.57 4,957,704 No 4 S Direct
Common Stock Disposition 2014-03-06 15,000 $3.70 4,942,704 No 4 S Direct
Common Stock Disposition 2014-03-07 15,000 $3.68 4,927,704 No 4 S Direct
Common Stock Disposition 2014-03-10 15,000 $3.70 4,912,704 No 4 S Direct
Common Stock Disposition 2014-03-11 15,000 $3.78 4,897,704 No 4 S Direct
Common Stock Disposition 2014-03-12 15,000 $3.66 4,882,704 No 4 S Direct
Common Stock Disposition 2014-03-13 15,000 $3.68 4,867,704 No 4 S Direct
Common Stock Disposition 2014-03-14 15,000 $3.63 4,852,704 No 4 S Direct
Common Stock Disposition 2014-03-17 15,000 $3.62 4,837,704 No 4 S Direct
Common Stock Disposition 2014-03-18 15,000 $4.32 4,822,704 No 4 S Direct
Common Stock Disposition 2014-03-19 15,000 $4.75 4,807,704 No 4 S Direct
Common Stock Disposition 2014-03-20 15,000 $5.31 4,792,704 No 4 S Direct
Common Stock Disposition 2014-03-21 15,000 $5.51 4,777,704 No 4 S Direct
Common Stock Disposition 2014-03-24 15,000 $5.71 4,762,704 No 4 S Direct
Common Stock Disposition 2014-03-25 15,000 $5.73 4,747,704 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 3,200 Indirect By daughter
Footnotes
  1. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 3/3/14.
  2. The price reported in Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.46 to $3.74, inclusive. The reporting person undertakes to provide to Pernix Therapeutics Holdings, Inc., any security holder of Pernix Therapeutics Holdings, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
  3. The price reported in Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $_____ to $_____, inclusive. The reporting person undertakes to provide to Pernix Therapeutics Holdings, Inc., any security holder of Pernix Therapeutics Holdings, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
  4. The price reported in Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.49 to $3.68, inclusive. The reporting person undertakes to provide to Pernix Therapeutics Holdings, Inc., any security holder of Pernix Therapeutics Holdings, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
  5. The price reported in Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.54 to $3.81, inclusive. The reporting person undertakes to provide to Pernix Therapeutics Holdings, Inc., any security holder of Pernix Therapeutics Holdings, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
  6. The price reported in Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.60 to $3.73, inclusive. The reporting person undertakes to provide to Pernix Therapeutics Holdings, Inc., any security holder of Pernix Therapeutics Holdings, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
  7. The price reported in Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.65 to $3.78, inclusive. The reporting person undertakes to provide to Pernix Therapeutics Holdings, Inc., any security holder of Pernix Therapeutics Holdings, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
  8. The price reported in Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.70 to $3.92, inclusive. The reporting person undertakes to provide to Pernix Therapeutics Holdings, Inc., any security holder of Pernix Therapeutics Holdings, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
  9. The price reported in Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.59 to $3.74, inclusive. The reporting person undertakes to provide to Pernix Therapeutics Holdings, Inc., any security holder of Pernix Therapeutics Holdings, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
  10. The price reported in Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.61 to $3.76, inclusive. The reporting person undertakes to provide to Pernix Therapeutics Holdings, Inc., any security holder of Pernix Therapeutics Holdings, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
  11. The price reported in Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.45 to $3.66, inclusive. The reporting person undertakes to provide to Pernix Therapeutics Holdings, Inc., any security holder of Pernix Therapeutics Holdings, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
  12. The price reported in Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.54 to $3.75, inclusive. The reporting person undertakes to provide to Pernix Therapeutics Holdings, Inc., any security holder of Pernix Therapeutics Holdings, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
  13. The price reported in Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.90 to $4.60, inclusive. The reporting person undertakes to provide to Pernix Therapeutics Holdings, Inc., any security holder of Pernix Therapeutics Holdings, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
  14. The price reported in Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.44 to $4.94, inclusive. The reporting person undertakes to provide to Pernix Therapeutics Holdings, Inc., any security holder of Pernix Therapeutics Holdings, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
  15. The price reported in Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.81 to $5.52, inclusive. The reporting person undertakes to provide to Pernix Therapeutics Holdings, Inc., any security holder of Pernix Therapeutics Holdings, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
  16. The price reported in Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.10 to $5.96, inclusive. The reporting person undertakes to provide to Pernix Therapeutics Holdings, Inc., any security holder of Pernix Therapeutics Holdings, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
  17. The price reported in Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.50 to $5.95, inclusive. The reporting person undertakes to provide to Pernix Therapeutics Holdings, Inc., any security holder of Pernix Therapeutics Holdings, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
  18. The price reported in Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.62 to $5.85, inclusive. The reporting person undertakes to provide to Pernix Therapeutics Holdings, Inc., any security holder of Pernix Therapeutics Holdings, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.