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