0001209191-20-051615.txt : 20200922 0001209191-20-051615.hdr.sgml : 20200922 20200922212050 ACCESSION NUMBER: 0001209191-20-051615 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200918 FILED AS OF DATE: 20200922 DATE AS OF CHANGE: 20200922 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ROTE WILLIAM E. CENTRAL INDEX KEY: 0001698262 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36257 FILM NUMBER: 201190820 MAIL ADDRESS: STREET 1: C/O RETROPHIN, INC. STREET 2: 3721 VALLEY CENTRE DRIVE, SUITE 200 CITY: SAN DIEGO STATE: CA ZIP: 92130 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Retrophin, Inc. CENTRAL INDEX KEY: 0001438533 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 262383102 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 3721 VALLEY CENTRE DR. STREET 2: SUITE 200 CITY: SAN DIEGO STATE: CA ZIP: 92130 BUSINESS PHONE: 760-260-8600 MAIL ADDRESS: STREET 1: 3721 VALLEY CENTRE DR. STREET 2: SUITE 200 CITY: SAN DIEGO STATE: CA ZIP: 92130 FORMER COMPANY: FORMER CONFORMED NAME: Desert Gateway, Inc. DATE OF NAME CHANGE: 20080625 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2020-09-18 0 0001438533 Retrophin, Inc. RTRX 0001698262 ROTE WILLIAM E. C/O RETROPHIN, INC. 3721 VALLEY CENTRE DRIVE, STE 200 SAN DIEGO CA 92130 0 1 0 0 Senior Vice President, R&D Common Stock 2020-09-18 4 A 0 3000 0.00 A 27086 D Common Stock 2020-09-22 4 S 0 1500 18.59 D 25586 D On May 9, 2019, the reporting person was granted performance restricted stock units (PRSUs) covering 6,000 shares of the Issuer's common stock, which vest upon the satisfaction of certain performance criteria. On September 18, 2020, a portion of the PRSUs vested upon the Issuer's confirmation that the first 280 patients in the sparsentan PROTECT Phase 3 Study had been enrolled. Includes 592 shares of the Issuer's common stock acquired by the reporting person on May 31, 2020 pursuant to an employee stock purchase program. The sales reported in this Form 4 were made pursuant to a written plan meeting the requirements of Rule 10b5-1(c) of the Securities Exchange Act of 1934, as amended, and includes the sale of shares to cover the tax obligation that occurred upon the vesting of performance restricted stock units. /s/ Elizabeth E. Reed, Attorney-in-Fact 2020-09-22