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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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(Print or Type Responses)
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| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) | ||
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1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) |
4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| Dorsey Brian C/O SOMAXON PHARMACEUTICALS, INC. 440 STEVENS AVENUE, SUITE 200 SOLANA BEACH, CA 92075 |
SVP, Technical Operations | |||
| /s/ Matthew W. Onaitis, Attorney-in-fact | 10/02/2012 | |
| ** Signature of Reporting Person |
Date
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| * | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
| ** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| (1) | These RSUs were granted in lieu of a portion of the Participant's salary from the quarter ended September 30, 2012. Subject to the terms of the Restricted Stock Unit Agreement, 100% of the RSU Award shall vest upon the first date included within an open trading window under the Company's Insider Trading Policy following December 31, 2012, subject to Participant's continued status as an Employee, Independent Director or Consultant (each as defined in the Plan) of the Company or any Subsidiary on such vesting date. Notwithstanding anything to the contrary in the 2005 Equity Incentive Plan (the "Plan"), in the event of a Change in Control (as defined in the Plan) prior to the vesting date as set forth above, 100% of the unvested RSUs will vest upon the consummation of the Change in Control. |