SEC Filings

8-K
PERNIX THERAPEUTICS HOLDINGS, INC. filed this Form 8-K on 02/27/2019
Entire Document
 

Schedule 4.1(d)

 

Subscriptions, Options, Warrants, Calls

 

Options (for common stock of Pernix Therapeutics Holdings, Inc.):

 

Options:

 

Options Outstanding at December 31, 2017 1,042,000
Granted 556,000
Cancelled

(228,000)

Awards outstanding at September 30, 2018

1,370,000

Warrants:

 

Name of Warrant Holder Issue Date Expiration Date Underlying Shares Class of Equity
Oxford Finance LLC 8/2/2011 8/2/2021 929 Common stock of Pernix Therapeutics Holdings, Inc.
Oxford Finance LLC 8/2/2011 8/2/2021 1,393 Common stock of Pernix Therapeutics Holdings, Inc.
Silicon Valley Bank 8/2/2011 8/2/2021 1,161 Common stock of Pernix Therapeutics Holdings, Inc.
Oxford Finance LLC 12/19/2011 12/19/2021 598 Common stock of Pernix Therapeutics Holdings, Inc.
Silicon Valley Bank 12/19/2011 12/19/2021 299 Common stock of Pernix Therapeutics Holdings, Inc.
TOTALS     4,380  

 

Convertible Debt:

 

1.4.25%/5.25% Exchangeable Senior Notes due 2022 ($35,742,500 pro forma amount outstanding, convertible into common stock of Pernix Therapeutics Holdings, Inc.)

 

2.4.25% Convertible Senior Notes Due 2021 ($78,225,000 pro forma amount outstanding, convertible into common stock of Pernix Therapeutics Holdings, Inc.)

 

Schedule 4.1(d)