Form Type: 4

SEC EDGAR Link
Accession Number:0001209191-14-064334
Date:2014-10-20
Issuer: POZEN INC /NC (POZN)
Original Submission Date:

Reporting Person:

PLACHETKA JOHN R
C/O POZEN INC.
1414 RALEIGH ROAD, SUITE 400 CHAPEL HILL, NC 27517

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2014-10-20 M 22,700 a $4.64 60,280 direct
COMMON STOCK 2014-10-20 S 22,700 d $8.21 37,580 direct
COMMON STOCK 2014-10-21 M 27,300 a $4.64 64,280 direct
COMMON STOCK 2014-10-21 S 27,300 d $8.13 37,580 direct
COMMON STOCK 2014-10-20 0 $0.00 693,126 direct
COMMON STOCK 2014-10-20 0 $0.00 1,554,102 indirect f6
COMMON STOCK 2014-10-20 0 $0.00 221,910 indirect f7
COMMON STOCK 2014-10-20 0 $0.00 1,157,808 indirect f8
COMMON STOCK 2014-10-20 0 $0.00 22,631 indirect f9
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
STOCK OPTION 4.64 2014-10-20 deemed execution date M 22,700 (d) 2019-03-13 common stock 22,700 $4.64 176,451 direct
STOCK OPTION 4.64 2014-10-21 deemed execution date M 27,300 (d) 2019-03-13 common stock 27,300 $4.64 149,151 direct
Footnotes
IDfootnote
f1 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.
f2 the price in column 4 is a weighted average price. the prices actually received by the reporting person in this transaction range from $8.20 to $8.27.
f3 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.
f4 the price in column 4 is a weighted average price. the prices actually received by the reporting person in this transaction range from $8.08 to $8.22.
f5 shares underlying restricted stock units.
f6 beneficially owned by john r. plachetka, indirectly, through the revocable declaration trust u/a 1/31/2000, john r. plachetka, trustee.
f7 beneficially owned by john r. plachetka, indirectly, through the revocable declaration trust u/a 1/31/2000, clare a. plachetka, trustee.
f8 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.
f9 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.
f10 the options vest in four equal annual installments, with the initial vesting date occurring on march 13, 2010.
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