Filing Details
- Accession Number:
- 0001354488-11-003391
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-09-13 16:22:00
- Reporting Period:
- 2011-09-09
- Filing Date:
- 2011-09-13
- Accepted Time:
- 2011-09-13 16:22:00
- 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 |
|---|---|---|---|---|---|---|---|
| 1413616 | Cooper Michael Pearce | 10003 Woodlock Forest Drive The Woodlands TX 77380 | Yes | No | 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 | 2011-09-09 | 2,100 | $2.20 | 28,767 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-09-09 | 2,100 | $8.32 | 26,667 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2011-09-12 | 12,600 | $2.20 | 39,267 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-09-12 | 12,600 | $8.45 | 26,667 | 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 | Employee Stock Option (right to buy) | Disposition | 2011-09-09 | 2,100 | $0.00 | 2,100 | $2.20 |
| Common Stock | Employee stock option (right to buy) | Disposition | 2011-09-12 | 12,600 | $0.00 | 12,600 | $2.20 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 38,433 | 2013-03-09 | No | 4 | M | Direct | |
| 25,833 | 2013-03-09 | No | 4 | M | Direct |
Footnotes
- The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 7/29/11.
- The price reported Table I, Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.20 to $8.49, 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 Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes 2 and 3 to this Form 4.
- The price reported in Table I, Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.42 to $8.46, inclusive.
- The option, which represents a right to purchase a total of 42,500 shares, became fully exercisable on 3/9/10.
Billionaire Hedge Funds
