Filing Details

Accession Number:
0001209191-14-057304
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-09-10 16:41:58
Reporting Period:
2014-09-08
Filing Date:
2014-09-10
Accepted Time:
2014-09-10 16:41:58
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 2014-09-08 30,000 $3.77 67,580 No 4 M Direct
Common Stock Disposition 2014-09-08 30,000 $8.30 37,580 No 4 S Direct
Common Stock Acquisiton 2014-09-09 20,000 $3.77 57,580 No 4 M Direct
Common Stock Disposition 2014-09-09 20,000 $8.14 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
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Stock Option Disposition 2014-09-08 30,000 $0.00 30,000 $3.77
Common Stock Stock Option Disposition 2014-09-09 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
151,531 2021-03-15 No 4 M Direct
131,531 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
  1. 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.
  2. The price in column 4 is a weighted average price. The prices actually received by the reporting person in this transaction range from $8.25 to $8.35.
  3. 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.
  4. The price in column 4 is a weighted average price. The prices actually received by the reporting person in this transaction range from $8.04 to $8.25.
  5. Shares underlying restricted stock units.
  6. Beneficially owned by John R. Plachetka, indirectly, through the Revocable Declaration Trust u/a 1/31/2000, John R. Plachetka, Trustee.
  7. Beneficially owned by John R. Plachetka, indirectly, through the Revocable Declaration Trust u/a 1/31/2000, Clare A. Plachetka, Trustee.
  8. 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.
  9. 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.
  10. The options vest in four equal annual installments, with the initial vesting date occurring on March 15, 2012.