Filing Details
- Accession Number:
- 0001209191-15-001741
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-01-05 21:12:24
- Reporting Period:
- 2014-12-31
- Filing Date:
- 2015-01-05
- Accepted Time:
- 2015-01-05 21:12:24
- 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 |
|---|---|---|---|---|---|---|---|
| 1425357 | Marie Gilda Thomas | C/O Pozen Inc. 1414 Raleigh Road, Suite 400 Chapel Hill NC 27517 | Sr. Vp, Gen. Cnsl. & Secretary | No | 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 | 2014-12-31 | 30,000 | $0.00 | 30,000 | No | 4 | A | Direct | |
| Common Stock | Acquisiton | 2015-01-02 | 10,179 | $1.98 | 61,483 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2015-01-02 | 14,821 | $3.77 | 76,304 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2015-01-02 | 25,000 | $7.91 | 51,304 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | A | Direct | |
| No | 4 | M | 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 | Acquisiton | 2015-01-02 | 10,179 | $0.00 | 25,000 | $1.98 |
| Common Stock | Stock Option | Acquisiton | 2015-01-02 | 14,821 | $0.00 | 45,000 | $3.77 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 331,211 | 2021-10-03 | No | 4 | M | Direct | |
| 316,390 | 2021-03-15 | No | 4 | M | Direct |
Footnotes
- Restricted stock units granted pursuant to the POZEN Inc. 2010 Omnibus Equity Compensation Plan, which vests 25% annually over four years commencing upon the first anniversary of the date of grant, subject to continued employment or service to the Company.
- 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.
- The price in column 4 is a weighted average price. The prices actually received by the reporting person in this transaction range from $7.80 to $8.12.
- 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.
- Two thirds of the option vested upon achievement of certain regulatory milestones relating to the Company's PA product candidate.
- The option vests in four equal annual installments, with the initial vesting date occurring on March 15, 2011.
Billionaire Hedge Funds
