0001209191-14-057304.txt : 20140910
0001209191-14-057304.hdr.sgml : 20140910
20140910164158
ACCESSION NUMBER: 0001209191-14-057304
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20140908
FILED AS OF DATE: 20140910
DATE AS OF CHANGE: 20140910
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: POZEN INC /NC
CENTRAL INDEX KEY: 0001059790
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 621657552
FISCAL YEAR END: 0919
BUSINESS ADDRESS:
STREET 1: 1414 RALEIGH ROAD
STREET 2: SUITE 400
CITY: CHAPEL HILL
STATE: NC
ZIP: 27517
BUSINESS PHONE: 919-913-1030
MAIL ADDRESS:
STREET 1: 1414 RALEIGH ROAD
STREET 2: SUITE 400
CITY: CHAPEL HILL
STATE: NC
ZIP: 27517
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: PLACHETKA JOHN R
CENTRAL INDEX KEY: 0001135011
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-31719
FILM NUMBER: 141096288
MAIL ADDRESS:
STREET 1: 6330 QUADRANGLE DR
STREET 2: STE 240
CITY: CHAPEL HILL
STATE: NC
ZIP: 27514
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2014-09-08
0
0001059790
POZEN INC /NC
POZN
0001135011
PLACHETKA JOHN R
C/O POZEN INC.
1414 RALEIGH ROAD, SUITE 400
CHAPEL HILL
NC
27517
1
1
0
0
President, CEO and Chairman
Common Stock
2014-09-08
4
M
0
30000
3.77
A
67580
D
Common Stock
2014-09-08
4
S
0
30000
8.30
D
37580
D
Common Stock
2014-09-09
4
M
0
20000
3.77
A
57580
D
Common Stock
2014-09-09
4
S
0
20000
8.14
D
37580
D
Common Stock
693126
D
Common Stock
1779102
I
By Trust
Common Stock
221910
I
By Trust
Common Stock
1157808
I
By Silver Hill Investments, LLC
Common Stock
22631
I
By Trust
Stock Option
3.77
2014-09-08
4
M
0
30000
0.00
D
2021-03-15
Common Stock
30000
151531
D
Stock Option
3.77
2014-09-09
4
M
0
20000
0.00
D
2021-03-15
Common Stock
20000
131531
D
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 $8.25 to $8.35.
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.
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.
Shares underlying restricted stock units.
Beneficially owned by John R. Plachetka, indirectly, through the Revocable Declaration Trust u/a 1/31/2000, John R. Plachetka, Trustee.
Beneficially owned by John R. Plachetka, indirectly, through the Revocable Declaration Trust u/a 1/31/2000, Clare A. Plachetka, Trustee.
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.
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.
The options vest in four equal annual installments, with the initial vesting date occurring on March 15, 2012.
/s/ John E. Barnhardt, Attorney-in-fact
2014-09-10