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| CIK | 1024126 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Pernix Therapeutics Holdings, Inc.
SEC Filings (Chronological Order)
यह पृष्ठ SEC फाइलिंग की एक पूरी, कालानुक्रमिक सूची प्रदान करता है, ओनरशिप फाइलिंग को छोड़कर, जो हम अन्यत्र प्रदान करते हैं।
| September 25, 2019 |
PTX / Pernix Therapeutics Holdings, Inc. 15-12B - - 15-12B UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number 001-14494 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as sp |
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| June 26, 2019 |
Regulation FD Disclosure, Financial Statements and Exhibits, Bankruptcy or Receivership UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 11, 2019 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or Other Jurisdiction) (Commission File Nu |
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| June 26, 2019 |
Order Confirming Third Amended Joint Plan of Liquidation of Pernix Sleep, Inc. EX-2.1 2 dp108817ex0201.htm EXHIBIT 2.1 Exhibit 2.1 in the UNITED STATES BANKRUPTCY COURT for the DISTRICT OF DELAWARE In re: PERNIX SLEEP, INC., et al.1 Debtors. Chapter 11 Case No. 19-10323 (CSS) Jointly Administered THIRD AMENDED JOINT PLAN OF LIQUIDATION OF PERNIX SLEEP, INC. AND ITS AFFILIATEd debtors and debtors-in-possession PURSUANT TO CHAPTER 11 OF THE BANKRUPTCY CODE Nothing contained he |
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| June 26, 2019 |
UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF DELAWARE Exhibit 99.1 UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF DELAWARE In re: Pernix Sleep, Inc. et al. Case No. 19-10323 (CSS) Debtors Reporting Period: April 1, 2019 -April 30, 2019 MONTHLY OPERATING REPORT File with Court and submit copy to United States Trustee within 20 days after end of month. Submit copy of report to any official committee appointed in the case. REQUIRED DOCUMENTS Form No |
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| May 21, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 15, 2019 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or Other Jurisdiction) (Commission File Num |
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| May 14, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 8, 2019 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or Other Jurisdiction) (Commission File Numb |
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| May 7, 2019 |
UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF DELAWARE Exhibit 99.1 UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF DELAWARE In re: Pernix Sleep, Inc. et al. Case No. 19-10323 (CSS) Debtors Reporting Period: February 18, 2019 - March 31, 2019 MONTHLY OPERATING REPORT File with Court and submit copy to United States Trustee within 20 days after end of month. Submit copy of report to any official committee appointed in the case. REQUIRED DOCUMENTS Fo |
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| May 7, 2019 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 1, 2019 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or Other Jurisdiction) (Commission File Numb |
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| May 6, 2019 |
Completion of Acquisition or Disposition of Assets UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 30, 2019 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or Other Jurisdiction) (Commission File N |
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| April 19, 2019 |
Exhibit 2.1 EXECUTION VERSION AMENDED AND RESTATED ASSET PURCHASE AGREEMENT by and among CURRAX HOLDINGS LLC, as the Buyer, PERNIX THERAPEUTICS HOLDINGS, INC., PERNIX IRELAND PAIN DESIGNATED ACTIVITY COMPANY, And the other Sellers set forth on Annex A, as the Sellers Dated as of April 15, 2019 TABLE OF CONTENTS Page Article I DEFINITIONS Section 1.1 Certain Defined Terms 2 Section 1.2 Table of Def |
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| April 19, 2019 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 15, 2019 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or Other Jurisdiction (Commission File Nu |
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| April 1, 2019 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 1, 2019 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or Other Jurisdiction (Commission File Num |
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| February 27, 2019 |
Exhibit 10.1 Senior Secured Superpriority Debtor-In-Possession Credit Agreement by and among Cantor Fitzgerald Securities, as Agent, THE LENDERS THAT ARE PARTY HERETO as the Lenders, and PERNIX THERAPEUTICS HOLDINGS, INC., a Debtor and a Debtor-in-Possession, as Borrower Dated as of February 22, 2019 Table of Contents Page 1. DEFINITIONS AND CONSTRUCTION 1 1.1 Definitions 1 1.2 Accounting Terms 1 |
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| February 27, 2019 |
8-K 1 dp1028008k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 22, 2019 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or Other |
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| February 19, 2019 |
Letter Agreement, dated February 13, 2019, by and between Pernix Therapeutics LLC and Glenn Whaley Exhibit 10.3 February 13, 2019 Mr. Glenn Whaley 181 Sleepy Hollow Road Bloomingdale, NJ 07403 Dear Glenn: As an executive officer of Pernix Therapeutics, LLC. (the “Company”), you are one of a core group of the Company’s key management employees. To encourage and reward your continued loyalty and dedication to the Company through the remainder of 2019, our Board of Directors has approved a special |
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| February 19, 2019 |
EX-2.1 2 dp102387ex0201.htm EXHIBIT 2.1 Exhibit 2.1 ASSET PURCHASE AGREEMENT by and among PHOENIX TOP HOLDINGS LLC, as the Buyer, PERNIX THERAPEUTICS HOLDINGS, INC., PERNIX IRELAND PAIN DESIGNATED ACTIVITY COMPANY, And the other Sellers set forth on Annex A, as the Sellers Dated as of February 18, 2019 TABLE OF CONTENTS Page Article I DEFINITIONS Section 1.1 Certain Defined Terms 6 Section 1.2 Tab |
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| February 19, 2019 |
EX-99.1 6 dp102387ex9901.htm EXHIBIT 99.1 Exhibit 99.1 Press Release Pernix Therapeutics Holdings, Inc. Enters into Asset Purchase Agreement with Certain Funds Managed by Highbridge Capital Management Transaction that includes the sale of substantially all of Pernix’s assets to be valued at $75.6 million Pernix voluntarily files for Chapter 11 protection Pernix intends to continue to operate with |
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| February 19, 2019 |
EX-10.2 4 dp102387ex1002.htm EXHIBIT 10.2 Exhibit 10.2 February 13, 2019 Mr. Kenneth Piña 627 Vassar Road Wayne, PA 19087 Dear Ken: As an executive officer of Pernix Therapeutics, LLC. (the “Company”), you are one of a core group of the Company’s key management employees. To encourage and reward your continued loyalty and dedication to the Company through the remainder of 2019, our Board of Direct |
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| February 19, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 12, 2019 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or other Jurisdiction of Incorporation |
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| February 19, 2019 |
Letter Agreement, dated February 13, 2019, by and between Pernix Therapeutics LLC and John Sedor Exhibit 10.1 February 13, 2019 Mr. John Sedor 218 Chester Road Devon, PA 19333 Dear John: As an executive officer of Pernix Therapeutics, LLC. (the “Company”), you are one of a core group of the Company’s key management employees. To encourage and reward your continued loyalty and dedication to the Company through the remainder of 2019, our Board of Directors has approved a special one-time cash b |
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| February 19, 2019 |
Confidential Information Memorandum December 2018 Exhibit 99.2 Confidential Information Memorandum December 2018 2 In connection with the potential transactions described herein (the “Potential Transaction”) involving Pernix Therapeutics Ho ldi ngs, Inc. (together with its subsidiaries and affiliates, “Pernix” or the “Company”) this Confidential Information Memorandum and any associated information and due diligence - related materials provided h |
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| January 10, 2019 |
PTX / Pernix Therapeutics Holdings, Inc. / Flynn James E Passive Investment SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b)(c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. |
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| November 21, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 15, 2018 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or Other Jurisdiction (Commission File |
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| November 21, 2018 |
EX-10.1 2 exh10-1.htm AMENDMENT TO EMPLOYMENT AGREEMENT, DATED NOVEMBER 20, 2018, BY AND BETWEEN JOHN A. SEDOR AND PERNIX THERAPEUTICS HOLDINGS, INC. Exhibit 10.1 November 20, 2018 Mr. John A. Sedor C/O Pernix Thereapeutics Holdings, Inc. 10 North Park Place, Suite 201 Morristown, NJ 07960 Dear Mr. Sedor, On November 19, 2018, the Board of Directors of Pernix Therapeutics Holdings, Inc., upon reco |
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| November 13, 2018 |
EX-10.2 4 exh10-2.htm SERVICES AGREEMENT, DATED JULY 27, 2018, BETWEEN NALPROPION PHARMACEUTICALS, INC. AND PERNIX THERAPEUTICS, LLC EXECUTION VERSION SERVICES AGREEMENT dated as of July 27, 2018 between NALPROPION PHARMACEUTICALS, INC. and PERNIX THERAPEUTICS, LLC #90879273v29 TABLE OF CONTENTS PAGE ARTICLE 1 Definitions1 Section 1.01 . Definitions1 Section 1.02 . Other Definitional and Interpret |
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| November 13, 2018 |
PERNIX IRELAND PAIN DESIGNATED ACTIVITY COMPANY, as Issuer, the GUARANTORS party hereto AND WILMINGTON TRUST, NATIONAL ASSOCIATION as Trustee FIRST SUPPLEMENTAL INDENTURE Dated as of July 27, 2018 4. |
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| November 13, 2018 |
Exhibit 10.1 [***] Certain information in this document has been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions. STOCKHOLDERS AGREEMENT among NALPROPION PHARMACEUTICALS, INC. and the Stockholders named herein dated as of July 27, 2018 [***] Certain information in this document has been omitted |
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| November 13, 2018 |
PERNIX THERAPEUTICS HOLDINGS, INC. ARTICLES SUPPLEMENTARY ESTABLISHING AND FIXING THE PREFERENCES, RIGHTS AND LIMITATIONS OF 0% SERIES C PERPETUAL CONVERTIBLE PREFERRED STOCK Pernix Therapeutics Holdings, Inc., a Maryland corporation (the “Corporation”), hereby certifies to the State Department of Assessments and Taxation of Maryland (the “SDAT”) that: FIRST: Pursuant to the authority conferred up |
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| November 13, 2018 |
AMENDMENT NO. 2 (TERM LOAN CREDIT AGREEMENT) EX-10.7 6 exh10-7.htm AMENDMENT NO. 2 TO THE TERM FACILITY, DATED AUGUST 1, 2018, BY AND AMONG PIP DAC, THE LENDERS PARTY THERETO EXECUTION VERSION AMENDMENT NO. 2 (TERM LOAN CREDIT AGREEMENT) AMENDMENT NO. 2 dated as of August 1, 2018 (this “Amendment”) to the Credit Agreement dated as of July 21, 2017 (the “Credit Agreement”) among PERNIX IRELAND PAIN DESIGNATED ACTIVITY COMPANY (f/k/a Pernix Ir |
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| November 13, 2018 |
PTX / Pernix Therapeutics Holdings, Inc. 10-Q (Quarterly Report) Q3 2018 10-Q DOC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) þ Quarterly report pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended: September 30, 2018 o Transition report pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from: to 001-14494 Commission File Number PERNIX THERAPEUTICS HOLDINGS, INC. |
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| November 13, 2018 |
EX-10.6 5 exh10-6.htm AMENDMENT NO. 3 TO THE ABL FACILITY, AUGUST 1, 2018, BY AND AMONG PERNIX, THE GUARANTORS AND LENDERS PARTY THERETO EXECUTION VERSION AMENDMENT NO. 3 (ABL CREDIT AGREEMENT) AMENDMENT NO. 3 dated as of August 1, 2018 (this “Amendment”) to the Credit Agreement dated as of July 21, 2017 (as amended, restated, amended and restated or otherwise modified prior to the date hereof, th |
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| November 9, 2018 |
Pernix® Therapeutics Reports Third Quarter 2018 Financial Results Exhibit 99.1 Exhibit 99.1 Pernix® Therapeutics Reports Third Quarter 2018 Financial Results MORRISTOWN, NJ - November 8, 2018 - Pernix Therapeutics Holdings, Inc. (NASDAQ: PTX), a specialty pharmaceutical company, announced today its financial results for the three and nine months ended September 30, 2018. Third Quarter 2018 Financial Highlights The third quarter of 2018 represented the first quar |
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| November 9, 2018 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 body8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 8, 2018 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or Other Jurisdict |
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| October 31, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 26, 2018 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or Other Jurisdiction (Commission File |
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| October 22, 2018 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 17, 2018 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or Other Jurisdiction (Commission File |
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| October 9, 2018 |
Orexigen Therapeutics, Inc. Financial Statements Exhibit 99.3 Exhibit 99.3 Orexigen Therapeutics, Inc. Financial Statements Page Number Condensed Consolidated Balance Sheets 1 Condensed Consolidated Statements of Operations 2 Condensed Consolidated Statements of Comprehensive Income (Loss) 3 Condensed Consolidated Statements of Cash Flows 4 Notes to Condensed Consolidated Financial Statements 5 Orexigen Therapeutics, Inc. (Debtor in possession) |
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| October 9, 2018 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K/A Amendment No. 1 CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 27, 2018 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or Other Jurisdiction (C |
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| October 9, 2018 |
Exhibit 99.4 Exhibit 99.4 Unaudited Pro Forma Condensed Combined Financial Information The following unaudited pro forma condensed combined financial statements of Pernix Therapeutics Holdings, Inc. (the "Company," "we," "our" or "us") and Orexigen Therapeutics Inc. ("Orexigen") have been prepared to give effect to the acquisition of Orexigen by Nalpropion Pharmaceuticals, Inc. ("Nalpropion"), a s |
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| October 9, 2018 |
Orexigen Therapeutics, Inc. Financial Statements EX-99.2 4 exh99-2.htm AUDITED CONSOLIDATED FINANCIAL STATEMENTS OF OREXIGEN THERAPEUTICS, INC. Exhibit 99.2 Orexigen Therapeutics, Inc. Financial Statements Page Number Report of Independent Registered Public Accounting Firm 1 Report of Independent Registered Public Accounting Firm 2 Consolidated Balance Sheets 3 Consolidated Statements of Operations 4 Consolidated Statements of Comprehensive Loss |
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| August 27, 2018 |
Financial Statements and Exhibits, Other Events 8-K 1 body8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 27, 2018 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or Other Jurisdicti |
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| August 27, 2018 |
Pernix Therapeutics Announces Ruling in Patent Litigation Concerning Zohydro® ER with BeadTek® Exhibit 99.1 Exhibit 99.1 Pernix Therapeutics Announces Ruling in Patent Litigation Concerning Zohydro® ER with BeadTek® MORRISTOWN, N.J. - August 27, 2018 - Pernix Therapeutics Holdings, Inc. (NASDAQ: PTX), a specialty pharmaceutical company, announced today that in the Company's litigation against Alvogen Malta Operations, Ltd. (Alvogen), the United States District Court for the District of Dela |
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| August 22, 2018 |
PTX / Pernix Therapeutics Holdings, Inc. S-8 August 22, 2018 S-8 DOC As filed with the Securities and Exchange Commission on August 22, 2018 Registration No. |
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| August 9, 2018 |
Pernix Therapeutics Reports Second Quarter 2018 Financial Results Exhibit 99.1 Exhibit 99.1 Pernix Therapeutics Reports Second Quarter 2018 Financial Results MORRISTOWN, NJ - August 9, 2018 - Pernix Therapeutics Holdings, Inc. (NASDAQ: PTX), a specialty pharmaceutical company, announced today its financial results for the three and six months ended June 30, 2018. Second Quarter 2018 Financial Highlights Second quarter 2018 net revenues were $21.1 million, a 39% |
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| August 9, 2018 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 body8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 9, 2018 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or Other Jurisdictio |
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| August 9, 2018 |
PTX / Pernix Therapeutics Holdings, Inc. 10-Q (Quarterly Report) Q2 2018 10-Q DOC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) þ Quarterly report pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended: June 30, 2018 o Transition report pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from: to 001-14494 Commission File Number PERNIX THERAPEUTICS HOLDINGS, INC. |
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| August 1, 2018 |
Exhibit 10.3 EXCHANGE AGREEMENT 1992 MSF International Ltd. (the “Holder”) enters into this Exchange Agreement (the “Agreement”) with Pernix Therapeutics Holdings, Inc. (the “Company”) on August 1, 2018 whereby the Holder will exchange the principal amount of the Company’s 12% Senior Secured Notes due 2020 (the “Existing Securities”) set forth in Section 1.1 for shares of common stock of the Compa |
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| August 1, 2018 |
Exhibit 10.5 AMENDMENT NO. 2 (TERM LOAN CREDIT AGREEMENT) AMENDMENT NO. 2 dated as of August 1, 2018 (this “Amendment”) to the Credit Agreement dated as of July 21, 2017 (the “Credit Agreement”) among PERNIX IRELAND PAIN DESIGNATED ACTIVITY COMPANY (f/k/a Pernix Ireland Pain Limited), a designated activity company organized under the laws of the Republic of Ireland (the “Borrower”), the lenders pa |
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| August 1, 2018 |
Exhibit 10.2 EXCHANGE AGREEMENT 1992 Tactical Credit Master Fund, L.P. (the “Holder”) enters into this Exchange Agreement (the “Agreement”) with Pernix Therapeutics Holdings, Inc. (the “Company”) on August 1, 2018 whereby the Holder will exchange the principal amount of the Company’s 12% Senior Secured Notes due 2020 (the “Existing Securities”) set forth in Section 1.1 for shares of common stock o |
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| August 1, 2018 |
Form of Articles Supplementary for 0% Series C Perpetual Convertible Preferred Stock Exhibit 4.1 PERNIX THERAPEUTICS HOLDINGS, INC. ARTICLES SUPPLEMENTARY ESTABLISHING AND FIXING THE PREFERENCES, RIGHTS AND LIMITATIONS OF 0% SERIES C PERPETUAL CONVERTIBLE PREFERRED STOCK Pernix Therapeutics Holdings, Inc., a Maryland corporation (the “Corporation”), hereby certifies to the State Department of Assessments and Taxation of Maryland (the “SDAT”) that: FIRST: Pursuant to the authority |
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| August 1, 2018 |
Exhibit 10.1 EXCHANGE AGREEMENT Deerfield Partners, L.P. (“DP”), Deerfield Special Situations Fund, L.P. (“DSSF”), Deerfield Private Design International II, L.P. (“DPDI”) and Deerfield Private Design Fund II, L.P. (“DPDF”, together with DP, DSSF and DPDI, the “Holders” and each, a “Holder”) enter into this Exchange Agreement (the “Agreement”) with Pernix Therapeutics Holdings, Inc. (the “Company” |
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| August 1, 2018 |
EX-10.4 7 dp94062ex1004.htm EXHIBIT 10.4 Exhibit 10.4 AMENDMENT NO. 3 (ABL CREDIT AGREEMENT) AMENDMENT NO. 3 dated as of August 1, 2018 (this “Amendment”) to the Credit Agreement dated as of July 21, 2017 (as amended, restated, amended and restated or otherwise modified prior to the date hereof, the “Credit Agreement”) by and among Pernix Therapeutics Holdings, Inc., a Maryland corporation (“Paren |
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| August 1, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 1, 2018 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or other Jurisdiction of Incorporation) ( |
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| August 1, 2018 |
Exhibit 99.1 Pernix Therapeutics Announces a Series of Transactions To Strengthen Its Balance Sheet and Improve Financial Flexibility MORRISTOWN, N.J. – August 1, 2018 – Pernix Therapeutics Holdings, Inc. (NASDAQ: PTX), a specialty pharmaceutical company, announces a series of transactions aimed at strengthening its balance sheet and improving financial flexibility, as described below. Exchange Ag |
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| August 1, 2018 |
PTX / Pernix Therapeutics Holdings, Inc. / Flynn James E Passive Investment SC 13G 1 e618200sc13g-pth.htm SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b)(c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. ) * Pernix Therapeutics Holdings, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 71426V306 (CUSIP Number) Augus |
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| July 31, 2018 |
8-K 1 body8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 27, 2018 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or Other Jurisdiction |
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| July 31, 2018 |
EX-99.1 2 exh99-1.htm PRESS RELEASE Exhibit 99.1 Pernix Therapeutics Announces Successful Closing of Transaction Regarding Worldwide Rights to Contrave® for Weight Loss MORRISTOWN, N.J. - July 30, 2018 - Pernix Therapeutics Holdings, Inc. (NASDAQ: PTX), a specialty pharmaceutical company, today announced the closing of a transaction in which Nalpropion Pharmaceuticals, Inc. ("Nalpropion"), a speci |
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| June 22, 2018 |
Financial Statements and Exhibits, Other Events 8-K 1 body8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 22, 2018 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or Other Jurisdiction |
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| June 22, 2018 |
EX-99.1 2 exh99-1.htm PRESS RELEASE Exhibit 99.1 Pernix Therapeutics Announces Result of Bid Process for Acquisition of Worldwide Rights to Contrave® for Weight Loss MORRISTOWN, N.J. — June 22, 2018 — Pernix Therapeutics Holdings, Inc. (NASDAQ: PTX), a specialty pharmaceutical company, today announced that Nalpropion Pharmaceuticals, Inc. ("Nalpropion"), the special purpose vehicle ("SPV") created |
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| May 22, 2018 |
Pernix Therapeutics Holdings, Inc. 2017 Omnibus Incentive Plan, as amended. Exhibit 10.1 PERNIX THERAPEUTICS HOLDINGS, INC. 2017 OMNIBUS INCENTIVE PLAN, AS AMENDED 1. PURPOSE The Plan is intended to (a) provide eligible individuals with an incentive to contribute to the success of the Company and to operate and manage the Company's business in a manner that will provide for the Company's long-term growth and profitability and that will benefit its shareholders and other i |
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| May 22, 2018 |
Exhibit 10.3 PERNIX THERAPEUTICS HOLDINGS, INC. 2017 OMNIBUS INCENTIVE PLAN FORM OF NONQUALIFIED STOCK OPTION AGREEMENT (EMPLOYEES) Pernix Therapeutics Holdings, Inc., a Maryland corporation (the "Company"), hereby grants a nonqualified stock option to purchase shares of its common stock, par value $0.01 per share (the "Common Shares"), to the Grantee named below (the "Option"). Additional terms a |
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| May 22, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 22, 2018 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or Other Jurisdiction (Commission File Numb |
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| May 22, 2018 |
Exhibit 10.2 PERNIX THERAPEUTICS HOLDINGS, INC. 2017 OMNIBUS INCENTIVE PLAN FORM OF RESTRICTED STOCK UNIT AGREEMENT Pernix Therapeutics Holdings, Inc., a Maryland corporation (the "Company"), hereby grants restricted stock units relating to shares of its common stock, par value $0.01 per share (the "Common Shares"), to the Grantee named below (the "RSUs"). Additional terms and conditions of the gr |
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| May 11, 2018 |
PTX / Pernix Therapeutics Holdings, Inc. DEFA14A May 11, 2018 DEFA14A DOC UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| May 10, 2018 |
PTX / Pernix Therapeutics Holdings, Inc. 10-Q (Quarterly Report) Q1 2018 10-Q DOC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) þ Quarterly report pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended: March 31, 2018 o Transition report pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from: to 001-14494 Commission File Number PERNIX THERAPEUTICS HOLDINGS, INC. |
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| May 10, 2018 |
Pernix Therapeutics Reports First Quarter 2018 Financial Results Exhibit 99.1 Exhibit 99.1 Pernix Therapeutics Reports First Quarter 2018 Financial Results MORRISTOWN, NJ - May 10, 2018 - Pernix Therapeutics Holdings, Inc. (NASDAQ: PTX), a specialty pharmaceutical company, announced today its financial results for the three months ended March 31, 2018. First Quarter 2018 Financial Highlights First quarter 2018 net revenues were $28.1 million, a 5% decrease from |
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| May 10, 2018 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 10, 2018 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or Other Jurisdiction (Commission File Numb |
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| April 30, 2018 |
PTX / Pernix Therapeutics Holdings, Inc. DEFA14A April 30, 2018 DEFA14A DOC UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| April 23, 2018 |
Exhibit 10.1 Exhibit 10.1 AMENDMENT NUMBER 1 TO THE CREDIT AGREEMENT by and among CANTOR FITZGERALD SECURITIES as Agent, THE LENDERS THAT ARE PARTY HERETO as the Lenders, PERNIX THERAPEUTICS HOLDINGS, INC., PERNIX THERAPEUTICS, LLC, PERNIX SLEEP, INC., CYPRESS PHARMACEUTICALS, INC., HAWTHORN PHARMACEUTICALS, INC., GAINE, INC., RESPICOPEA INC., AND MACOVEN PHARMACEUTICALS, L.L.C. as Borrowers Dated |
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| April 23, 2018 |
Exhibit 99.1 Exhibit 99.1 Pernix Therapeutics Announces Participation in Lead Bid for Acquisition of Worldwide Rights to Contrave® for Weight Loss MORRISTOWN, N.J. - April 23, 2018 (GLOBE NEWSWIRE) - Pernix Therapeutics Holdings, Inc. (NASDAQ:PTX), a specialty pharmaceutical company, today announced that it has agreed to participate in an investor group (collectively with Pernix, the "Investors") |
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| April 23, 2018 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 23, 2018 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or Other Jurisdiction (Commissio |
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| April 9, 2018 |
PTX / Pernix Therapeutics Holdings, Inc. DEFA14A DEFA14A 1 defa14a.htm DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ý Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e |
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| April 9, 2018 |
PTX / Pernix Therapeutics Holdings, Inc. DEF 14A April 9, 2018 DEF 14A DOC UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| March 30, 2018 |
PTX / Pernix Therapeutics Holdings, Inc. PRE 14A March 30, 2018 PRE 14A DOC UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| March 27, 2018 |
Pernix Therapeutics Announces Return to Market of Zohydro® ER with BeadTekTM 20 mg. Exhibit 99.1 Exhibit 99.1 Pernix Therapeutics Announces Return to Market of Zohydro® ER with BeadTekTM 20 mg. MORRISTOWN, N.J. - March 27, 2018 (GLOBE NEWSWIRE) - Pernix Therapeutics Holdings, Inc. (NASDAQ:PTX), a specialty pharmaceutical company, today announced that it expects to resume distribution of the 20 mg. dosage strength of Zohydro® ER (hydrocodone bitartrate) with BeadTekTM on March 28, |
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| March 27, 2018 |
Financial Statements and Exhibits, Other Events Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 27, 2018 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or Other Jurisdiction (Commissio |
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| March 8, 2018 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 8, 2018 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or Other Jurisdiction (Commission File Num |
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| March 8, 2018 |
Pernix Therapeutics Reports Fourth Quarter and Full Year 2017 Financial Results Exhibit 99.1 Exhibit 99.1 Pernix Therapeutics Reports Fourth Quarter and Full Year 2017 Financial Results MORRISTOWN, NJ - March 8, 2018 - Pernix Therapeutics Holdings, Inc. (NASDAQ: PTX), a specialty pharmaceutical company, announced today financial results for the three and twelve months ended December 31, 2017. Fourth Quarter 2017 Financial Highlights Fourth quarter net revenues were $41.5 mill |
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| March 8, 2018 |
2017 10-K Exhibit 21.1 EXHIBIT 21.1 LIST OF SUBSIDIARIES Name Jurisdiction Macoven Pharmaceuticals, LLC Louisiana Pernix Manufacturing, LLC Texas Pernix Ireland Limited Ireland Pernix Therapeutics, LLC Louisiana Pernix Sleep, Inc. Delaware Cypress Pharmaceuticals, Inc. Mississippi Gaine, Inc. Delaware Respicopea, Inc. Delaware Hawthorn Pharmaceuticals, Inc. Mississippi Pernix Ireland Pain Designat |
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| March 8, 2018 |
EX-10.41 3 exh10-41.htm OFFER LETTER, DATED SEPTEMBER 22, 2017, BY AND BETWEEN PERNIX THERAPEUTICS HOLDINGS, INC. AND DOUGLAS J. SWIRSKY EXHIBIT 10.41 September 22, 2017 Douglas J. Swirsky 5221 Crown Street Bethesda, MD 20816 Re: Nomination to Serve as a Member of the Pernix Therapeutics Holdings, Inc. Board of Directors Dear Mr. Swirsky, I am pleased to inform you that the Board of Directors (the |
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| March 8, 2018 |
2017 10-K Exhibit 10.42 EXHIBIT 10.42 September 22, 2017 John Leone 225 Ravenscliff Road St. Davids, PA 19087 Re: Nomination to Serve as a Member of the Pernix Therapeutics Holdings, Inc. Board of Directors Dear Mr. Leone, I am pleased to inform you that the Board of Directors (the "Board") of Pernix Therapeutics Holdings, Inc., a Maryland corporation (the "Company"), has nominated you to serve as |
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| March 8, 2018 |
BYLAWS PERNIX THERAPEUTICS HOLDINGS, INC. (in effect as of February 28, 2018) TABLE OF CONTENTS 2017 10-K Exhibit 3.2 EXHIBIT 3.2 BYLAWS OF PERNIX THERAPEUTICS HOLDINGS, INC. (in effect as of February 28, 2018) TABLE OF CONTENTS ARTICLE I Offices 1 Section 1. Principal Office 1 Section 2. Additional Offices 1 Section 3. Fiscal and Taxable Years 1 ARTICLE II Definitions 1 ARTICLE III Meetings of Stockholders 1 Section 1. Place 1 Section 2. Annual Meeting 1 Section 3. Special Meetings 3 Sectio |
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| March 8, 2018 |
PTX / Pernix Therapeutics Holdings, Inc. 10-K (Annual Report) 10-K 1 body10k.htm 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K þ Annual Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the fiscal year ended December 31, 2017 o Transition Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission file number: 001-14494 Pernix |
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| March 8, 2018 |
WAIVER, AMENDMENT AND CONSENT AGREEMENT 2017 10-K Exhibit 10.43 EXHIBIT 10.43 WAIVER, AMENDMENT AND CONSENT AGREEMENT THIS WAIVER, AMENDMENT AND CONSENT AGREEMENT dated as of November 2, 2017 (this "Agreement") is entered into among Pernix Therapeutics Holdings, Inc. (the "Company") and the Holders party hereto (the "Consenting Holders"), in their capacity as Holders of the Company's 12% Senior Secured Notes due 2020 (the "Securities"). |
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| March 5, 2018 |
Second Amendment to the Company's Bylaws. Exhibit 3.1 Exhibit 3.1 Second Amendment to the Bylaws of Pernix Therapeutics Holdings, Inc. February 28, 2018 On February 28, 2018, the Board of Directors (the "Board") of Pernix Therapeutics Holdings, Inc. (the "Corporation"), in accordance with the Corporation's Bylaws, as amended (the "Bylaws") and the Maryland General Corporation Law, approved and adopted the following amendment to the Bylaws |
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| March 5, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 28, 2018 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or Other Jurisdiction (Commission File |
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| February 28, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 28, 2018 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or Other Jurisdiction (Commission File |
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| February 20, 2018 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 16, 2018 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or Other Jurisdiction (Commission File |
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| February 20, 2018 |
Exhibit 99.1 Exhibit 99.1 Pernix Therapeutics Announces Launch of Authorized Generic Version of Treximet? by Company's Subsidiary, Macoven Pharmaceuticals MORRISTOWN, N.J. - February 16, 2018 - Pernix Therapeutics Holdings, Inc. (NASDAQ: PTX), a specialty pharmaceutical company, today announced the launch of an authorized generic version of Treximet? (sumatriptan/naproxen sodium) in the U.S. by th |
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| February 12, 2018 |
POWER OF ATTORNEY Know all by these presents, that the undersigned hereby constitutes and appoints the Chief Executive Officer, Chief Financial Officer, Chief Accounting Officer and Chief Legal Officer of Pernix Therapeutics Holdings, Inc. |
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| February 6, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 6, 2018 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or Other Jurisdiction (Commission File |
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| February 6, 2018 |
Pernix Announces Appointment of Lead Independent Director and Key Management Team Promotion Exhibit 99.1 Exhibit 99.1 Pernix Announces Appointment of Lead Independent Director and Key Management Team Promotion Director John R. Leone Named as the Company's Lead Independent Director Angus Smith Promoted to Senior Vice President, Chief Business Officer and Principal Financial Officer MORRISTOWN, N.J. - February 6, 2018 - Pernix Therapeutics Holdings, Inc. (NASDAQ: PTX), a specialty pharmace |
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| February 6, 2018 |
Exhibit 10.2 |
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| February 6, 2018 |
Exhibit 10.1 Exhibit 10.1 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT ("Agreement"), made effective as of February 6, 2018, between PERNIX THERAPEUTICS HOLDINGS, INC., a Maryland corporation (the "Company") and ANGUS SMITH ("Executive"). WITNESSETH: WHEREAS, Executive will be serving as the Senior Vice President, Chief Business Officer and Principal Financial Officer of the Company; and WHEREAS |
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| February 1, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. 2)* Pernix Therapeutics Holdings, Inc. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 71426V108 (CUSIP Number) Rober |
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| January 29, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 29, 2018 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or Other Jurisdiction (Commission File |
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| January 29, 2018 |
Pernix Announces Patent Litigation Settlement Agreement with Actavis Concerning Zohydro® ER Exhibit 99.1 Exhibit 99.1 Pernix Announces Patent Litigation Settlement Agreement with Actavis Concerning Zohydro? ER MORRISTOWN, N.J. - January 29, 2018 - Pernix Therapeutics Holdings, Inc. (NASDAQ: PTX), a specialty pharmaceutical company, today announced that it has entered into a settlement agreement with Actavis Laboratories FL ("Actavis") resolving patent litigation related to Zohydro? ER (h |
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| January 5, 2018 |
Costs Associated with Exit or Disposal Activities UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 4, 2018 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or Other Jurisdiction (Commission File N |
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| December 29, 2017 |
EX-4.1 2 dp84552ex0401.htm EXHIBIT 4.1 Exhibit 4.1 PERNIX THERAPEUTICS HOLDINGS, INC. AND U.S. BANK NATIONAL ASSOCIATION, as Trustee THIRD SUPPLEMENTAL INDENTURE Dated as of December 29, 2017 12% Senior Secured Notes due 2020 THIRD SUPPLEMENTAL INDENTURE THIS THIRD SUPPLEMENTAL INDENTURE (this “Third Supplemental Indenture”) dated as of December 29, 2017, by and among Pernix Therapeutics Holdings, |
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| December 29, 2017 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 29, 2017 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or other Jurisdiction of Incorporation |
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| December 20, 2017 |
Up to $10,000,000 Common Stock December 20, 2017 424b5 DOC Filed Pursuant to Rule 424(b)(5) Registration No. 333-221717 PROSPECTUS SUPPLEMENT (to Prospectus dated December 18, 2017) Up to $10,000,000 Common Stock We have entered into a Controlled Equity OfferingSM Sales Agreement, or the sales agreement, with Cantor Fitzgerald & Co., or Cantor, pursuant to which we may offer and sell shares of our common stock from time to time |
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| December 15, 2017 |
PTX / Pernix Therapeutics Holdings, Inc. ESP CORRESP 1 filename1.htm Pernix Therapeutics Holdings, Inc. 10 North Park Place, Suite 201 Morristown, New Jersey 07960 December 15, 2017 VIA EDGAR Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Pernix Therapeutics Holdings, Inc. Registration Statement on Form S-3 Filed November 22, 2017 File No. 333-221717 Request for Acceleration of Effective Date Ladies and Gent |
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| December 8, 2017 |
POA POWER OF ATTORNEY Know all by these presents, that the undersigned hereby constitutes and appoints the Chief Executive Officer, Chief Financial Officer, Chief Accounting Officer and Chief Legal Officer of Pernix Therapeutics Holdings, Inc. |
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| December 5, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 29, 2017 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or Other Jurisdiction (Commission File |
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| November 22, 2017 |
PTX / Pernix Therapeutics Holdings, Inc. S-3 November 21, 2017 S-3 DOC As filed with the Securities and Exchange Commission on November 22, 2017 Registration No. |
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| November 20, 2017 |
PERNIX THERAPEUTICS HOLDINGS, INC. 2017 OMNIBUS INCENTIVE PLAN November 20, 2017 S-8 Exhibit 10.1 Exhibit 10.1 PERNIX THERAPEUTICS HOLDINGS, INC. 2017 OMNIBUS INCENTIVE PLAN NONQUALIFIED STOCK OPTION AGREEMENT (NON-EMPLOYEE DIRECTORS) Pernix Therapeutics Holdings, Inc., a Maryland corporation (the "Company"), hereby grants a nonqualified stock option to purchase shares of its common stock, par value $0.01 per share (the "Common Shares"), to the Grantee named |
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| November 20, 2017 |
PTX / Pernix Therapeutics Holdings, Inc. S-8 November 20, 2017 S-8 DOC As filed with the Securities and Exchange Commission on November 20, 2017 Registration No. |
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| November 20, 2017 |
POA POWER OF ATTORNEY Know all by these presents, that the undersigned hereby constitutes and appoints the Chief Executive Officer, Chief Financial Officer, Chief Accounting Officer and Chief Legal Officer of Pernix Therapeutics Holdings, Inc. |
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| November 17, 2017 |
POA POWER OF ATTORNEY Know all by these presents, that the undersigned hereby constitutes and appoints the Chief Executive Officer, Chief Financial Officer, Chief Accounting Officer and Chief Legal Officer of Pernix Therapeutics Holdings, Inc. |
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| November 15, 2017 |
Pernix Therapeutics Holdings, Inc. 2017 Omnibus Incentive Plan Exhibit 10.1 PERNIX THERAPEUTICS HOLDINGS, INC. 2017 OMNIBUS INCENTIVE PLAN TABLE OF CONTENTS Page 1. PURPOSE 1 2 DEFINITIONS 1 3. ADMINISTRATION OF THE PLAN 11 3.1 Committee 11 3.1.1 Powers and Authorities 11 3.1.2 Composition of the Committee 11 3.1.3 Other Committees 12 3.1.4 Delegation by the Committee. 12 3.2 Board 12 3.3 Terms of Awards 13 3.3.1 Committee Authority 13 3.3.2 Forfeiture; Recou |
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| November 15, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 15, 2017 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or Other Jurisdiction (Commission File |
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| November 7, 2017 |
PTX / Pernix Therapeutics Holdings, Inc. DEFA14A November 7, 2017 DEFA14A DOC UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| November 7, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 3, 2017 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or Other Jurisdiction (Commission File |
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| November 7, 2017 |
Pernix Therapeutics Reports Third Quarter 2017 Financial Results |
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| November 7, 2017 |
PTX / Pernix Therapeutics Holdings, Inc. 10-Q (Quarterly Report) Q3 2017 10-Q DOC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) þ Quarterly report pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended: September 30, 2017 o Transition report pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from: to 001-14494 Commission File Number PERNIX THERAPEUTICS HOLDINGS, INC. |
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| November 7, 2017 |
Q3 2017 10-Q Exhibit 10.6 EXHIBIT 10.6 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT ("Agreement"), made as of July 21, 2017, between PERNIX THERAPEUTICS HOLDINGS, INC., a Maryland corporation (the "Company") and Kenneth Pina ("Executive"). WITNESSETH: WHEREAS, Executive currently serves as the Senior Vice President, Chief Legal and Compliance Officer and Corporate Secretary of the Company; and W |
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| October 17, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 12, 2017 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or Other Jurisdiction (Commission File |
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| September 27, 2017 |
Pernix Therapeutics Holdings DEFA14A September 27, 2017 DEFA14A DOC UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| September 27, 2017 |
Pernix Therapeutics Holdings DEF 14A September 27, 2017 DEF 14A DOC UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| September 22, 2017 |
Amended and Restated Code of Business Conduct and Ethics of Pernix Therapeutics Holdings, Inc. |
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| September 22, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 19, 2017 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or Other Jurisdiction (Commission Fil |
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| August 15, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 15, 2017 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or Other Jurisdiction (Commission File N |
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| August 9, 2017 |
PTX / Pernix Therapeutics Holdings, Inc. ESP August 9, 2017 Letter Pernix Therapeutics Holdings, Inc. 10 North Park Place, Suite 201 Morristown, New Jersey 07960 August 9, 2017 VIA EDGAR Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Pernix Therapeutics Holdings, Inc. Registration Statement on Form S-3 Filed July 24, 2017 File No. 333-219420 Request for Acceleration of Effective Date Ladies and Gentlemen: Pu |
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| August 8, 2017 |
Pernix Therapeutics Holdings S-3/A S-3/A 1 s3abody.htm S-3/A As filed with the Securities and Exchange Commission on August 8, 2017 Registration No. 333-219420 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 PRE-EFFECTIVE AMENDMENT NO. 2 TO FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 33-072 |
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| July 31, 2017 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Pernix Therapeutics Holdings, Inc. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 71426V306 (CUSIP Number) July 21, 2017 (Date of event which requires filing of this statement) Check the appropriate box to designate the rule pur |
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| July 27, 2017 |
Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 27, 2017 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or Other Jurisdiction (Commission File Num |
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| July 27, 2017 |
Pernix Therapeutics Reports Second Quarter 2017 Financial Results and Provides Business Update EX-99.1 2 exh99-1.htm PRESS RELEASE Exhibit 99.1 Pernix Therapeutics Reports Second Quarter 2017 Financial Results and Provides Business Update Recently Completed Refinancing Transactions to Provide Company with up to $45 Million in Aggregate New Capital to Grow Company's Business MORRISTOWN, NJ - July 27, 2017 - Pernix Therapeutics Holdings, Inc. (NASDAQ: PTX) ("Pernix" or the "Company"), a speci |
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| July 27, 2017 |
PTX / Pernix Therapeutics Holdings, Inc. 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) þ Quarterly report pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended: June 30, 2017 o Transition report pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from: to 001-14494 Commission File Number PERNIX THERAPEUTICS HOLDINGS, INC. |
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| July 24, 2017 |
Pernix Therapeutics Holdings FORM S-3/A As filed with the Securities and Exchange Commission on July 24, 2017 Registration No. |
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| July 22, 2017 |
Pernix Therapeutics Holdings FORM S-3 As filed with the Securities and Exchange Commission on July 21, 2017 Registration No. |
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| July 21, 2017 |
Exhibit 10.2 CREDIT AGREEMENT by and among CANTOR FITZGERALD SECURITIES, as Agent, THE LENDERS THAT ARE PARTY HERETO as the Lenders, and PERNIX IRELAND PAIN LIMITED as Borrower Dated as of July 21, 2017 Table of Contents Page 1. DEFINITIONS AND CONSTRUCTION. 1 1.1 Definitions. Capitalized terms used in this Agreement shall have the meanings specified therefor on Schedule 1.1. 1 1.2 Accounting Term |
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| July 21, 2017 |
Exhibit 4.1 PERNIX Ireland Pain Limited, as Issuer, the GUARANTORS party hereto AND WILMINGTON TRUST, NATIONAL ASSOCIATION as Trustee INDENTURE Dated as of July 21, 2017 4.25%/5.25% Exchangeable Senior Notes due 2022 TABLE OF CONTENTS Page Article 1 Definitions Section 1.01. Definitions 2 Section 1.02. Rules of Construction 36 Article 2 Issue, Description, Execution, Registration and Exchange of N |
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| July 21, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K/A Amendment No. 1 CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 20, 2017 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or other Jurisdiction of |
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| July 21, 2017 |
Amendment no. 2 to THE interim settlement agreement BETWEEN pERNIX AND gsk Exhibit 10.3 Amendment no. 2 to THE interim settlement agreement BETWEEN pERNIX AND gsk This AMENDMENT NO. 2 to the interim settlement agreement (this ?Amendment No. 2?), dated as of July 20, 2017, is entered into by and between Pernix Therapeutics Holdings, Inc. (?Pernix Holdings?) and Pernix Ireland Limited (?Pernix Ireland? and together with Pernix Holdings, ?Pernix?), on the one hand, and Glax |
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| July 21, 2017 |
EX-4.3 4 dp78565ex0403.htm EXHIBIT 4.3 Exhibit 4.3 PERNIX THERAPEUTICS HOLDINGS, INC. THE GUARANTORS NAMED ON THE SIGNATURE PAGES HERETO AND U.S. BANK NATIONAL ASSOCIATION, as Trustee SECOND SUPPLEMENTAL INDENTURE Dated as of July 21, 2017 12% Senior Secured Notes due 2020 SECOND SUPPLEMENTAL INDENTURE THIS SECOND SUPPLEMENTAL INDENTURE (this “Second Supplemental Indenture”) dated as of July 21, 2 |
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| July 21, 2017 |
EX-10.4 8 dp78565ex1004.htm EXHIBIT 10.4 Exhibit 10.4 Registration Rights Agreement Dated As of July 21, 2017 between Pernix Therapeutics Holdings, Inc., Pernix Ireland Pain Limited and 1992 MSF International Ltd., 1992 Tactical Credit Master Fund, L.P. REGISTRATION RIGHTS AGREEMENT THIS REGISTRATION RIGHTS AGREEMENT (this “Agreement”) is made and entered into as of July 21, 2017 by and among Pern |
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| July 21, 2017 |
Exhibit 10.1 CREDIT AGREEMENT by and among CANTOR FITZGERALD SECURITIES as Agent, THE LENDERS THAT ARE PARTY HERETO as the Lenders, PERNIX THERAPEUTICS HOLDINGS, INC., PERNIX THERAPEUTICS, LLC, PERNIX SLEEP, INC., CYPRESS PHARMACEUTICALS, INC., HAWTHORN PHARMACEUTICALS, INC., GAINE, INC., RESPICOPEA INC., AND MACOVEN PHARMACEUTICALS, L.L.C. as Borrowers Dated as of July 21, 2017 TABLE OF CONTENTS |
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| July 20, 2017 |
Up to $16,075,000 Common Stock Filed Pursuant to Rule 424(b)(5) Registration No. 333-200005 PROSPECTUS SUPPLEMENT (To the Prospectus Dated November 25, 2014) Up to $16,075,000 Common Stock This Prospectus Supplement amends and supplements the information in our registration statement and prospectus, dated November 25, 2014 (File No. 333- 200005) (the ?Prospectus?). This Prospectus Supplement should be read in conjunction with t |
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| July 20, 2017 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 dp785468k-earnings.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 20, 2017 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or o |
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| July 20, 2017 |
Pernix Therapeutics Pre-Announces Certain Preliminary Second Quarter 2017 Financial Results Company Expects to Report Full Quarterly Financial Results and Host Conference Call on July 27, 2017 MORRISTOWN, NJ ? July 20, 2017 ? Pernix Therapeutics Holdings, Inc. |
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| July 20, 2017 |
Exhibit 99.3 Pernix Commences Refinancing Transactions to Fortify Balance Sheet - Transactions will Provide up to $45 Million in Aggregate New Capital to Grow Company?s Business - MORRISTOWN, NJ ? July 20, 2017 ? Pernix Therapeutics Holdings, Inc. (NASDAQ: PTX) (?Pernix? or the ?Company?), a specialty pharmaceutical company, today commenced a series of refinancing transactions intended to improve |
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| July 20, 2017 |
PTX Strategic Update June 2017 Exhibit 99.1 PTX Strategic Update June 2017 2 Table of Contents ? Zohydro ER Update ? Other Product Updates ? Updated Summary Forecast ? Proposed Transaction Overview ? Appendix Zohydro ER Update 4 Zohydro ER PPD Pilot ? PPD for Zohydro ER provides eligible commercially insured patients their first Zohydro ER prescription for $0 and either $0 or $20 for subsequent prescriptions based on coverage w |
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| July 20, 2017 |
Exhibit 99.4 RISK FACTORS You should carefully consider the risk factors contained in Part I, Item 1A of our Annual Report on Form 10-K for the year ended December 31, 2016, filed with the SEC on March 28, 2017 and Part II, Item 1A of our Quarterly Report on Form 10-Q for the period ended March 31, 2017, filed with the SEC on May 15, 2017. The risk factors set forth below related to our business a |
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| July 20, 2017 |
8-K 1 dp785108k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 20, 2017 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or other Juri |
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| July 20, 2017 |
Exhibit 10.01 EXCHANGE AGREEMENT THIS EXCHANGE AGREEMENT (this ?Agreement?) is made and entered into as of July 20, 2017 by and among Pernix Ireland Pain Limited, a private company limited by shares incorporated under the laws of Ireland (the ?Issuer?), Pernix Therapeutics Holdings, Inc., a Maryland corporation (?Holdings?), the subsidiary guarantors party hereto (together with Holdings, the ?Guar |
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| July 20, 2017 |
Transaction Overview & Corporate Strategy Update July 2017 Exhibit 99.2 Transaction Overview & Corporate Strategy Update July 2017 2 Safe Harbor Statement Triptans TRx (99%) This presentation includes forward - looking statements, including statements regarding the progress and timing of our product dev elopment programs and related trials; our future opportunities; our strategy, future operations, anticipated financial position, future revenues and proje |
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| May 15, 2017 |
Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 15, 2017 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or Other Jurisdiction (Commission File Numb |
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| May 15, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Q1 2017 10-Q DOC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) þ Quarterly report pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended: March 31, 2017 o Transition report pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from: to 001-14494 Commission File Number PERNIX THERAPEUTICS HOLDINGS, INC. |
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| May 15, 2017 |
Pernix Therapeutics Reports First Quarter 2017 Financial Results and Provides Business Update |
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| May 1, 2017 |
Pernix Therapeutics Holdings 10-K/A (Annual Report) 10-K/A 1 body10ka.htm 10-K/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K/A (Amendment No. 1) þ Annual Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the fiscal year ended December 31, 2016 o Transition Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission file |
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| April 20, 2017 |
EX-10.1 2 exh10-1.htm AMENDMENT NO. 1 TO THE CREDIT AGREEMENT BY AND AMONG WELLS FARGO BANK, NATIONAL ASSOCIATION, AS ADMINISTRATIVE AGENT, THE LENDERS THAT ARE PARTIES THERETO, AS LENDERS AND PERNIX THERAPEUTICS HOLDINGS, INC., PERNIX THERAPEUTICS, LLC, PERNIX SLEEP, INC., C Exhibit 10.1 AMENDMENT NO. 1 TO CREDIT AGREEMENT THIS AMENDMENT NO. 1 TO CREDIT AGREEMENT (this "Amendment") is made and en |
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| April 20, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 18, 2017 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or Other Jurisdiction (Commission File Nu |
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| March 28, 2017 |
Pernix Therapeutics Announces Fourth Quarter and Full Year 2016 Financial Results Exhibit 99.1 Exhibit 99.1 Pernix Therapeutics Announces Fourth Quarter and Full Year 2016 Financial Results Fourth Quarter Prescription Volumes Grew Year-Over-Year for All Three Core Brands, Treximet®, ZohydroER® with BeadTek™ and Silenor® MORRISTOWN, NJ -March 28, 2017 - Pernix Therapeutics Holdings, Inc. (NASDAQ: PTX) ("Pernix" or the "Company"), a specialty pharmaceutical company, today announc |
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| March 28, 2017 |
Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 28, 2017 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or Other Jurisdiction (Commission File Nu |
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| March 28, 2017 |
Pernix Therapeutics Holdings, Inc. Amended and Restated 2010 Employee Stock Purchase Plan EXHIBIT 10.2 Pernix Therapeutics Holdings, Inc. Amended and Restated 2010 Employee Stock Purchase Plan On March 3, 2017, Pernix Therapeutics Holdings, Inc., a Maryland corporation ("Pernix" and, together with its Subsidiaries, the "Company"), adopted this Amended and Restated 2010 Employee Stock Purchase Plan (the "Plan"). The Plan first became effective on July 22, 2010, the date on which it was |
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| March 28, 2017 |
EXHIBIT 10.17 AMENDED AND RESTATED PERNIX THERAPEUTICS HOLDINGS, INC. 2015 OMNIBUS INCENTIVE PLAN (Amended and Restated as of October 14, 2016) Purpose. The purposes of the Amended and Restated Pernix Therapeutics Holdings, Inc. 2015 Omnibus Incentive Plan (the "Plan") are to (i) align the long-term financial interests of employees, directors, consultants, agents and other service providers of the |
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| March 28, 2017 |
EXHIBIT 10.3 AMENDED AND RESTATED GOLF TRUST OF AMERICA, INC. 2007 STOCK OPTION PLAN (Amended and Restated as of October 14, 2016) Purposes of Plan . The purposes of this Plan, which shall be known as the Amended and Restated Golf Trust of America, Inc. 2007 Stock Option Plan, and is hereinafter referred to as the "Plan," are (i) to provide incentives for key employees, directors, consultants and |
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| March 28, 2017 |
EXHIBIT 10.34 STOCK OPTION AND RESTRICTED STOCK AGREEMENT FOR THE GRANT OF NON-QUALIFIED STOCK OPTIONS AND RESTRICTED STOCK UNDER THE PERNIX THERAPEUTICS HOLDINGS, INC. 2015 OMNIBUS INCENTIVE PLAN, AS AMENDED THIS AGREEMENT is entered into as of Enter Date Here by and between Pernix Therapeutics Holdings, Inc., a Maryland corporation ("Pernix"), and NAME OF EMPLOYEE (the "Participant"). WHEREAS, t |
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| March 28, 2017 |
EXHIBIT 10.1 AMENDED AND RESTATED PERNIX THERAPEUTICS HOLDINGS, INC. 2009 STOCK INCENTIVE PLAN (Amended and Restated as of October 14, 2016) 1. Purpose . The purpose of the Amended and Restated Pernix Therapeutics Holdings, Inc. 2009 Stock Incentive Plan (the "Plan") is to increase stockholder value and to advance the interests of Pernix Therapeutics Holdings, Inc. ("Pernix") and its subsidiaries |
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| March 28, 2017 |
EXHIBIT 21.1 LIST OF SUBSIDIARIES Name Jurisdiction Macoven Pharmaceuticals, LLC Louisiana Pernix Manufacturing, LLC Texas Pernix Ireland Limited Ireland Pernix Therapeutics, LLC Louisiana Pernix Sleep, Inc. Delaware Cypress Pharmaceuticals, Inc. Mississippi Gaine, Inc. Delaware Respicopea, Inc. Delaware Hawthorn Pharmaceuticals, Inc. Mississippi Pernix Ireland Pain Limited Ireland |
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| March 28, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 2016 10-K DOC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K þ Annual Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the fiscal year ended December 31, 2016 o Transition Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission file number: 001-14494 Pernix Therapeutics Holdings, Inc. |
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| March 28, 2017 |
AMENDED AND RESTATED PERNIX THERAPEUTICS HOLDINGS, INC. 2015 OMNIBUS INCENTIVE PLAN EXHIBIT 10.35 AMENDED AND RESTATED PERNIX THERAPEUTICS HOLDINGS, INC. 2015 OMNIBUS INCENTIVE PLAN RESTRICTED SHARE UNIT AGREEMENT COVER SHEET Pernix Therapeutics Holdings, Inc., a Maryland corporation (the "Company"), hereby grants restricted share units relating to shares of its common stock, par value $0.01 per share (the "Common Stock"), to the Grantee named below (the "RSU"). Additional terms |
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| March 28, 2017 |
10 Park Place, Suite 201, Morristown, NJ 07960 * www.pernixtx.com EXHIBIT 10.32 December 16, 2016 Kenneth Pina 627 Vassar Road Wayne, PA 19087 Dear Ken, We are pleased to extend an offer of employment to you with Pernix Therapeutics. You are being offered a full-time position as Senior Vice President, General Counsel & Chief Compliance Officer reporting to John Sedor, Chairman & Chief Executive Officer. You will be expected to work at least forty (40) hours per |
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| March 28, 2017 |
EXHIBIT 10.30 INDEMNIFICATION AGREEMENT THIS INDEMNIFICATION AGREEMENT (this "Agreement") is entered into as of , 2016, by and between Pernix Therapeutics Holdings, Inc., a Maryland corporation (the "Company" or the "Indemnitor") and (the "Indemnitee"). The effective date of this indemnification agreement is , 20[XX]. WHEREAS, the Indemnitee is an officer and/or a member of the Board of Directors |
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| March 28, 2017 |
EX-10.33 8 exh10-33.htm FORM OF NONQUALIFIED STOCK OPTION AGREEMENT UNDER THE AMENDED AND RESTATED EXHIBIT 10.33 STOCK OPTION AND RESTRICTED STOCK AGREEMENT FOR THE GRANT OF NON-QUALIFIED STOCK OPTIONS AND RESTRICTED STOCK UNDER THE PERNIX THERAPEUTICS HOLDINGS, INC. 2009 STOCK INCENTIVE PLAN THIS AGREEMENT is entered into as of Enter Date Here, by and between Pernix Therapeutics Holdings, Inc., a |
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| March 21, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 17, 2017 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or Other Jurisdiction (Commission File Nu |
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| March 21, 2017 |
Amendment to the Interim Settlement Agreement dated March 17, 2017. EX-10.1 2 exh10-1.htm AMENDMENT TO THE INTERIM SETTLEMENT AGREEMENT DATED MARCH 17, 2017 Exhibit 10.1 AMENDMENT NO. 1 TO THE INTERIM SETTLEMENT AGREEMENT BETWEEN PERNIX AND GSK This AMENDMENT NO. 1 to the interim settlement agreement (this "Amendment"), dated as of March 17, 2017, is entered into by and between Pernix Therapeutics Holdings, Inc. ("Pernix Holdings"), Pernix Ireland Limited ("Pernix |
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| February 14, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* PERNIX THERAPEUTICS HOLDINGS, INC. (Name of Issuer) Common Stock, Par Value $0.01 Per Share (Title of Class of Securities) 71426V306 (CUSIP Number) December 31, 2016 (Date of Event which Requires Filing of this Statement) Check the appropriate box to des |
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| February 14, 2017 |
PTX / Pernix Therapeutics Holdings, Inc. / Stonepine Capital Management, LLC Passive Investment SC 13G/A 1 pernix13ga1.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.1)* Pernix Therapeutics Holdings, Inc. (Name of Issuer) common stock, par value $0.01 per share (Title of Class of Securities) 71426V306 (CUSIP Number) December 31, 2016 (Date of Event Which Requires Filing of this Statement) Check |
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| February 10, 2017 |
PTX / Pernix Therapeutics Holdings, Inc. / Broadfin Capital, LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. |
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| February 3, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 3, 2017 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or Other Jurisdiction (Commission File |
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| February 3, 2017 | ||
| January 17, 2017 |
Exhibit 24 Exhibit 24 POWER OF ATTORNEY Know all by these presents, that the undersigned hereby constitutes and appoints each of Graham G. |
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| December 28, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 21, 2016 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or Other Jurisdiction (Commission File |
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| December 28, 2016 | ||
| December 27, 2016 |
PERNIX THERAPEUTICS HOLDINGS, INC. EX-99.2 3 exh99-2.htm RESTRUCTURING TERM SHEET DATED DECEMBER 22, 2016 Exhibit 99.2 Confidential - Subject to FRE 408 and State Law Equivalents Non-Binding - For Discussion Purposes Only PERNIX THERAPEUTICS HOLDINGS, INC. RESTRUCTURING TERM SHEET [], 2016 This term sheet (the "Term Sheet") describes the material terms of an agreement pursuant to which Pernix Therapeutics Holdings, Inc. ("Pernix") |
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| December 27, 2016 | ||
| December 27, 2016 | ||
| December 27, 2016 |
PERNIX THERAPEUTICS HOLDINGS, INC. EX-99.1 2 exh99-1.htm RESTRUCTURING TERM SHEET DATED NOVEMBER 19, 2016 Exhibit 99.1 Confidential - Subject to FRE 408 and State Law Equivalents Non-Binding - For Discussion Purposes Only PERNIX THERAPEUTICS HOLDINGS, INC. RESTRUCTURING TERM SHEET November [], 2016 This term sheet (the "Term Sheet") describes the material terms of a proposed restructuring (the "Restructuring") of Pernix Therapeutic |
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| December 27, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 27, 2016 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or Other Jurisdiction (Commission File |
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| December 23, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 22, 2016 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or Other Jurisdiction (Commission File |
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| December 23, 2016 | ||
| November 29, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 28, 2016 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or Other Jurisdiction (Commission File |
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| November 22, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 21, 2016 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or Other Jurisdiction (Commission File |
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| November 22, 2016 |
Pernix Therapeutics Appoints New Board Member EX-99.1 3 exh99-1.htm PRESS RELEASE Exhibit 99.1 Pernix Therapeutics Appoints New Board Member MORRISTOWN, N.J., November 22, 2016 - Pernix Therapeutics Holdings, Inc. (NASDAQ: PTX), a specialty pharmaceutical company with a focus on Pain and CNS conditions, today announced the appointment of Gabriel Leung to its Board of Directors, effective immediately. The Board also determined that Mr. Leung i |
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| November 22, 2016 |
EX-10.1 2 exh10-1.htm OFFER LETTER, DATED NOVEMBER 16, 2016, BY AND BETWEEN PERNIX THERAPEUTICS HOLDINGS, INC. AND GABRIEL LEUNG Exhibit 10.1 November 16, 2016 Gabriel Leung 41318 Silverside Drive Leesburg, VA 20175 Re: Appointment to Pernix Therapeutics Holdings, Inc. Board of Directors Dear Mr. Leung, Subject to the Board of Directors (the "Board") of Pernix Therapeutic Holdings, Inc., a Marylan |
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| November 22, 2016 |
Exhibit 24 POWER OF ATTORNEY Know all by these presents, that the undersigned hereby constitutes and appoints each of Graham G. |
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| November 10, 2016 |
Pernix Therapeutics Reports Third Quarter 2016 Financial Results and Provides Business Update EX-99.1 2 exh99-1.htm PRESS RELEASE Exhibit 99.1 Pernix Therapeutics Reports Third Quarter 2016 Financial Results and Provides Business Update Net Revenue Increased 13% Sequentially Over Second Quarter 2016 Prescription Volumes Grew Sequentially and Year-Over-Year for All Three Core Brands, Treximet®, Zohydro ER® with BeadTek™ and Silenor® MORRISTOWN, NJ - November 10, 2016 - Pernix Therapeutics H |
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| November 10, 2016 |
Pernix Therapeutics Holdings 8-K (Current Report/Significant Event) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 10, 2016 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or Other Jurisdiction (Commission File |
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| November 10, 2016 |
EX-10 4 exh10-1.htm RESIGNATION AND RELEASE AGREEMENT, DATED JULY 26, 2016, BY AND BETWEEN PERNIX THERAPEUTICS HOLDINGS, INC. AND BARRY SIEGEL July 26, 2016 Barry Siegel 747 Clarendon Road Penn Valley, PA 19072 Re: Resignation and Release Agreement Dear Barry: This Resignation and Release Agreement ("Agreement") sets forth our agreement concerning your resignation of employment with Pernix Therape |
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| November 10, 2016 |
Articles of Incorporation of Pernix Therapeutics Holdings, Inc., as amended Q3 2016 10-Q Exhibit 3.1 EXHIBIT 3.1 ARTICLES OF INCORPORATION OF PERNIX THERAPEUTICS HOLDINGS, INC. As in effect on March 10, 2010 ARTICLE I NAME The name of the corporation (which is hereinafter called the “Corporation”) is: Pernix Therapeutics Holdings, Inc. ARTICLE II PURPOSES (a) The purpose for which the Corporation is formed is to engage in any lawful act or activity for which corporations |
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| November 10, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) þ Quarterly report pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended: September 30, 2016 o Transition report pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from: to 001-14494 Commission File Number PERNIX THERAPEUTICS HOLDINGS, INC. |
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| November 10, 2016 |
Bylaws of Pernix Therapeutics Holdings, Inc., as amended Q3 2016 10-Q Exhibit 3.2 EXHIBIT 3.2 BYLAWS OF PERNIX THERAPEUTICS HOLDINGS, INC. (in effect as of March 10, 2010) TABLE OF CONTENTS ARTICLE I Offices 1 Section 1. Principal Office 1 Section 2. Additional Offices 1 Section 3. Fiscal and Taxable Years 1 ARTICLE II Definitions 1 ARTICLE III Meetings of Stockholders 1 Section 1. Place 1 Section 2. Annual Meeting 1 Section 3. Special Meetings 3 Sectio |
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| November 8, 2016 |
EX-24 2 exhibit24.htm POWER OF ATTORNEY POWER OF ATTORNEY Know all by these presents, that the undersigned hereby constitutes and appoints each of Graham G. Miao, Ph.D. and Michael Golembiewski, signing singly, and with full power of substitution, the undersigned's true and lawful attorney-in-fact to: (1) execute for and on behalf of the undersigned, in the undersigned's capacity as a director of |
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| November 7, 2016 |
EX-10.8 9 exh10-8.htm RESTRICTED SHARE UNIT AGREEMENT UNDER THE AMENDED AND RESTATED PERNIX THERAPEUTICS HOLDINGS, INC. 2015 OMNIBUS INCENTIVE PLAN, DATED NOVEMBER 3, 2016, BY AND BETWEEN PERNIX THERAPEUTICS HOLDINGS, INC. AND GRAHAM G. MIAO, PH.D. Exhibit 10.8 AMENDED AND RESTATED PERNIX THERAPEUTICS HOLDINGS, INC. 2015 OMNIBUS INCENTIVE PLAN RESTRICTED SHARE UNIT AGREEMENT COVER SHEET Pernix The |
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| November 7, 2016 |
Pernix Therapeutics Appoints Two Board Members Exhibit 99.1 Pernix Therapeutics Appoints Two Board Members Regains Compliance with NASDAQ Listing Rule 5605(c)(2)(A) |
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| November 7, 2016 |
Exhibit 10.2 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT ("Agreement"), made as of November 3, 2016, between PERNIX THERAPEUTICS HOLDINGS, INC., a Maryland corporation (the "Company") and John A. Sedor ("Executive"). WITNESSETH: WHEREAS, Executive currently serves as the Chief Executive Officer of the Company and Chairman of the Board of Directors of the Company (the "Board"); and WHEREAS, the |
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| November 7, 2016 |
Exhibit 10.1 10/27/2016 Dennis Langer, M.D., J.D. 8231 Bay Colony Drive, #1804 Naples, FL 34108 Re: Appointment to Pernix Therapeutics Holdings, Inc. Board of Directors Dear Dr. Langer, Subject to the Board of Directors (the "Board") of Pernix Therapeutic Holdings, Inc., a Maryland corporation (the "Company"), formally appointing you to the Board, I am pleased to extend an offer to you to serve as |
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| November 7, 2016 |
Exhibit 10.5 AMENDED AND RESTATED PERNIX THERAPEUTICS HOLDINGS, INC. 2015 OMNIBUS INCENTIVE PLAN RESTRICTED SHARE UNIT AGREEMENT COVER SHEET Pernix Therapeutics Holdings, Inc., a Maryland corporation (the "Company"), hereby grants restricted share units relating to shares of its common stock, par value $0.01 per share (the "Common Stock"), to the Grantee named below (the "RSU"). Additional terms a |
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| November 7, 2016 |
Exhibit 10.4 AMENDED AND RESTATED PERNIX THERAPEUTICS HOLDINGS, INC. 2015 OMNIBUS INCENTIVE PLAN NONQUALIFIED STOCK OPTION AGREEMENT COVER SHEET Pernix Therapeutics Holdings, Inc., a Maryland corporation (the "Company"), hereby grants a nonqualified stock option to purchase shares of its common stock, par value $0.01 per share (the "Common Stock"), to the Grantee named below (the "Option"). Additi |
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| November 7, 2016 |
EX-10.7 8 exh10-7.htm NONQUALIFIED STOCK OPTION AGREEMENT UNDER THE AMENDED AND RESTATED PERNIX THERAPEUTICS HOLDINGS, INC. 2009 STOCK INCENTIVE PLAN, DATED NOVEMBER 3, 2016, BY AND BETWEEN PERNIX THERAPEUTICS HOLDINGS, INC. AND GRAHAM G. MIAO, PH.D. Exhibit 10.7 AMENDED AND RESTATED PERNIX THERAPEUTICS HOLDINGS, INC. 2009 STOCK INCENTIVE PLAN NONQUALIFIED STOCK OPTION AGREEMENT COVER SHEET Pernix |
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| November 7, 2016 |
EX-10.6 7 exh10-6.htm EMPLOYMENT AGREEMENT, DATED NOVEMBER 3, 2016, BY AND BETWEEN PERNIX THERAPEUTICS HOLDINGS, INC. AND GRAHAM G. MIAO, PH.D. Exhibit 10.6 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT ("Agreement"), made as of November 3, 2016, between PERNIX THERAPEUTICS HOLDINGS, INC., a Maryland corporation (the "Company") and Dr. Graham G. Miao ("Executive"). WITNESSETH: WHEREAS, Executive |
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| November 7, 2016 |
Pernix Therapeutics Holdings 8-K (Current Report/Significant Event) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 3, 2016 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or Other Jurisdiction (Commission File |
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| November 7, 2016 |
Exhibit 10.3 AMENDED AND RESTATED PERNIX THERAPEUTICS HOLDINGS, INC. 2009 STOCK INCENTIVE PLAN NONQUALIFIED STOCK OPTION AGREEMENT COVER SHEET Pernix Therapeutics Holdings, Inc., a Maryland corporation (the "Company"), hereby grants a nonqualified stock option to purchase shares of its common stock, par value $0.01 per share (the "Common Stock"), to the Grantee named below (the "Option"). Addition |
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| October 13, 2016 |
Articles of Amendment to the Company's Charter. EX-3.1 2 exh3-1.htm ARTICLES OF AMENDMENT TO THE COMPANY'S CHARTER Exhibit 3.1 PERNIX THERAPEUTICS HOLDINGS, INC. ARTICLES OF AMENDMENT EFFECTING 1-for-10 REVERSE STOCK SPLIT PERNIX THERAPEUTICS HOLDINGS, INC., a Maryland corporation having its principal office in Baltimore City, Maryland (the "Corporation"), hereby certifies to the Maryland State Department of Assessments and Taxation that: FIRST |
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| October 13, 2016 |
First Amendment to the Company's Bylaws. Exhibit 3.2 First Amendment to the Bylaws of Pernix Therapeutics Holdings, Inc. October 13, 2016 On October 13, 2016, the Board of Directors (the "Board") of Pernix Therapeutics Holdings, Inc. (the "Corporation"), in accordance with the Corporation's Bylaws (the "Bylaws") and the Maryland General Corporation Law, approved and adopted the following amendment to the Bylaws, to be effective immediate |
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| October 13, 2016 |
Pernix Therapeutics Holdings 8-K (Current Report/Significant Event) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 13, 2016 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or Other Jurisdiction (Commission File |
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| October 13, 2016 |
PERNIX THERAPEUTICS ANNOUNCES REVERSE STOCK SPLIT AND CORPORATE GOVERNANCE ENHANCEMENTS Exhibit 99.1 PERNIX THERAPEUTICS ANNOUNCES REVERSE STOCK SPLIT AND CORPORATE GOVERNANCE ENHANCEMENTS MORRISTOWN, N.J., Oct. 13, 2016 (GLOBE NEWSWIRE) - Pernix Therapeutics Holdings, Inc. (NASDAQ:PTX), a specialty pharmaceutical company with a focus on Pain and CNS conditions, today announced that its Board of Directors unanimously approved a reverse split of its common stock at a ratio of 1-for-10 |
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| August 11, 2016 |
Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 11, 2016 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or Other Jurisdiction (Commission File N |
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| August 11, 2016 |
Pernix Therapeutics Reports Second Quarter 2016 Financial Results and Business Update |
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| August 11, 2016 |
Q2 2016 10-Q Exhibit 10.1 EXHIBIT 10.1 May 9, 2016 John Sedor 218 Chester Road Devon, PA 19333 Dear John: As you know, the Board of Directors of Pernix Therapeutics Holdings, Inc. (the "Company") has appointed you to be the Interim Chief Executive Officer (the "Interim CEO") of the Company effective May 9, 2016 (the "Effective Date"). As Interim CEO, you will report to the Board of Directors of th |
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| August 11, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Q2 2016 10-Q DOC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) þ Quarterly report pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended: June 30, 2016 o Transition report pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from: to 001-14494 Commission File Number PERNIX THERAPEUTICS HOLDINGS, INC. |
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| July 28, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 20, 2016 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or Other Jurisdiction (Commission File N |
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| July 26, 2016 |
Pernix Therapeutics Announces Reorganization of Senior Management Team |
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| July 26, 2016 |
Pernix Therapeutics Holdings 8-K (Current Report/Significant Event) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 20, 2016 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or Other Jurisdiction (Commission File Num |
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| July 7, 2016 |
Pernix Therapeutics Holdings CURRENT REPORT (Current Report/Significant Event) Blueprint UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 7, 2016 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or other jurisdiction of incorpor |
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| July 7, 2016 |
Untitled Document Exhibit 99.1 Pernix Therapeutics Announces Restructuring of Sales Force and Operations Reorganization Expected to Drive Long-Term Revenue Growth, Improve Profitability and Result in Annualized Cost Savings of Approximately $10 Million MORRISTOWN, NJ – July 7, 2016 – Pernix Therapeutics Holdings, Inc. (NASDAQ: PTX) (“Pernix” or the “Company”), a specialty pharmaceutical company, t |
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| June 22, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 16, 2016 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or other jurisdiction of incorporation) (C |
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| June 22, 2016 |
EX-99.1 2 ptxex991.htm PRESS RELEASE BY PERNIX THERAPEUTICS HOLDINGS, INC. DATED JUNE 16, 2016 Exhibit 99.1 Pernix Therapeutics Announces Positive Phase IV Results of Silenor® vs. Zolpidem Head-to-Head Arousability Study Data demonstrated that Pernix Therapeutics’ Silenor® 6 mg was superior to zolpidem 10 mg on all measures evaluated. Study results presented at SLEEP 2016 international meeting MOR |
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| May 31, 2016 |
Submission of Matters to a Vote of Security Holders Blueprint UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 26, 2016 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or other jurisdiction of incorpor |
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| May 26, 2016 |
Blueprint Exhibit 99.1 Pernix Therapeutics Announces the Issuance of Three New Orange Book Patents for Zohydro? ER with BeadTek? Patents cover important safety information related to dosing patients who are prescribed Zohydro? ER (hydrocodone bitartrate) Extended-Release Capsules with BeadTekTM. Morristown, NJ ? May 25, 2016 ? Pernix Therapeutics Holdings, Inc. (NASDAQ: PTX), a specialty pharmaceu |
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| May 26, 2016 |
Pernix Therapeutics Holdings CURRENT REPORT (Current Report/Significant Event) Blueprint UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 25, 2016 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or other jurisdiction of incorpor |
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| May 26, 2016 |
PTX / Pernix Therapeutics Holdings, Inc. / Bracebridge Capital, LLC - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* PERNIX THERAPEUTICS HOLDINGS, INC. (Name of Issuer) Shares of Common Stock, $0.01 par value per share (Title of Class of Securities) 71426V108 (CUSIP Number) May 26, 2016 (Date of Event Which Requires Filing of this Statement) Check the appropriate box t |
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| May 19, 2016 |
Pernix Therapeutics Holdings CURRENT REPORT (Current Report/Significant Event) Blueprint UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 16, 2016 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or other jurisdiction of incorpor |
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| May 12, 2016 |
Pernix Therapeutics Holdings ADDITIONAL DEFINITIVE MATERIALS ptxdefa14a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant x Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2 |
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| May 11, 2016 |
ptx8k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 9, 2016 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or other jurisdiction of incorpora |
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| May 11, 2016 |
Pernix Therapeutics Announces CEO Transition Director John Sedor Appointed Interim CEO and Chairman ptxex991.htm Exhibit 99.1 Pernix Therapeutics Announces CEO Transition Director John Sedor Appointed Interim CEO and Chairman MORRISTOWN, NJ ? May 11, 2016 ? Pernix Therapeutics Holdings, Inc. (NASDAQ: PTX), a specialty pharmaceutical company, today announced that Doug Drysdale, after discussions with the Company?s Board of Directors, has agreed to step down as Chairman of the Board, Chief Executi |
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| May 5, 2016 |
Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 5, 2016 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or Other Jurisdiction (Commission File Numbe |
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| May 5, 2016 |
Pernix Therapeutics Inc. Reports First Quarter 2016 Financial Results and Business Update |
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| May 5, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Q1 2016 10-Q DOC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) þ Quarterly report pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended: March 31, 2016 o Transition report pursuant to section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from: to 001-14494 Commission File Number PERNIX THERAPEUTICS HOLDINGS, INC. |
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| April 29, 2016 |
Exhibit 99.1 JOINT FILING AGREEMENT The undersigned hereby agree that the foregoing statement on Schedule 13G is filed on behalf of each of the undersigned in accordance with the provisions of Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, and that all subsequent amendments to this statement on Schedule 13G may be filed on behalf of each of the undersigned without the necessi |
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| April 29, 2016 |
SC 13G 1 p17165771a.htm SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* PERNIX THERAPEUTICS HOLDINGS, INC. (Name of Issuer) Common Stock, Par Value $0.01 Per Share (Title of Class of Securities) 71426V108 (CUSIP Number) April 28, 2016 (Date of Event which Requires Filing of this Statement) |
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| April 27, 2016 |
EXHIBIT 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, the undersigned agree to the joint filing on behalf of each of them of a Statement on Schedule 13D (including any and all amendments thereto) with respect to the to the Common Stock, par value $0.01 per share, of Pernix Therapeutics Holdings, Inc., and further agree that this |
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| April 27, 2016 |
PTX / Pernix Therapeutics Holdings, Inc. / Cetus Capital II, LLC - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3) PERNIX THERAPEUTICS HOLDINGS, INC. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 71426V108 (CUSIP Number) Cetus Capital III, L.P. Cetus Capital II, LLC Littlejohn Opportunities Master Fund LP SG Distressed Fund, L |
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| April 21, 2016 |
Pernix Therapeutics Holdings S-8 April 21, 2016 S-8 DOC As filed with the Securities and Exchange Commission on April 21, 2016 Registration No. |
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| April 15, 2016 |
EXHIBIT 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, the undersigned agree to the joint filing on behalf of each of them of a Statement on Schedule 13D (including any and all amendments thereto) with respect to the to the Common Stock, par value $0.01 per share, of Pernix Therapeutics Holdings, Inc., and further agree that this |
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| April 15, 2016 |
PTX / Pernix Therapeutics Holdings, Inc. / Cetus Capital II, LLC - SC 13D/A Activist Investment SC 13D/A 1 a16-85371sc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2) PERNIX THERAPEUTICS HOLDINGS, INC. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 71426V108 (CUSIP Number) Cetus Capital III, L.P. Cetus Capital II, LLC Littlejohn Opportunit |
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| April 14, 2016 |
Pernix Therapeutics Holdings NOTICE AND ACCESS ptxdefa14a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, For Use of the Commission Only (As Permitted b |
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| April 14, 2016 |
Pernix Therapeutics Holdings DEFINITIVE PROXY STATEMENT ptxdef14a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for use of the Commission only ? Definitive Proxy Statement (as pe |
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| April 5, 2016 |
Untitled Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 31, 2016 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or other jurisdiction o |
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| March 24, 2016 |
PTX / Pernix Therapeutics Holdings, Inc. / STONEPINE CAPITAL, L.P. Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Pernix Therapeutics Holdings, Inc. (Name of Issuer) common stock, par value $0.01 per share (Title of Class of Securities) 71426V108 (CUSIP Number) March 11, 2016 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designa |
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| March 10, 2016 | ||
| March 10, 2016 |
Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 10, 2016 PERNIX THERAPEUTICS HOLDINGS, INC. (Exact name of registrant as specified in its charter) Maryland 001-14494 33-0724736 (State or Other Jurisdiction (Commission File Nu |
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| March 10, 2016 |
EXHIBIT 21.1 LIST OF SUBSIDIARIES Name Jurisdiction Macoven Pharmaceuticals, LLC Louisiana Pernix Manufacturing, LLC Texas Pernix Ireland Limited Ireland Pernix Therapeutics, LLC Louisiana Pernix Sleep, Inc. Delaware Cypress Pharmaceuticals, Inc. Mississippi Gaine, Inc. Delaware Respicopea, Inc. Delaware Hawthorn Pharmaceuticals, Inc. Mississippi Pernix Ireland Pain Limited Ireland |
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| March 10, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 2015 10-K DOC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K þ Annual Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the fiscal year ended December 31, 2015 o Transition Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission file number: 001-14494 Pernix Therapeutics Holdings, Inc. |
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| March 8, 2016 |
PTX / Pernix Therapeutics Holdings, Inc. / Broadfin Capital, LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. |
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| February 16, 2016 |
PTX / Pernix Therapeutics Holdings, Inc. / ARMISTICE CAPITAL, LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. |
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| February 12, 2016 |
PTX / Pernix Therapeutics Holdings, Inc. / STONEPINE CAPITAL, L.P. Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Pernix Therapeutics Holdings, Inc. (Name of Issuer) common stock, par value $0.01 per share (Title of Class of Securities) 71426V108 (CUSIP Number) December 31, 2015 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to des |
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| February 12, 2016 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.)* Pernix Therapeutics Holdings, Inc. (Name of Issuer) Common stock, par value $0.01 per share (Title of Class of Securities) 71426V108 (CUSIP Number) December 31, 2015 (Date of Event Which Requires Filing of This Statement) Check the appropriate box to designate the rule |
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| February 12, 2016 |
WINT / Windtree Therapeutics, Inc. / Broadfin Capital, LLC Passive Investment SC 13G/A 1 d703759913g-a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* Discovery Laboratories, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 254668403 (CUSIP Number) December 31, 2015 (Date of Event Which Requires Filing of this Statement) Check the |
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| February 12, 2016 |
WINT / Windtree Therapeutics, Inc. / Broadfin Capital, LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. |
