0001209191-20-058418.txt : 20201113 0001209191-20-058418.hdr.sgml : 20201113 20201113212523 ACCESSION NUMBER: 0001209191-20-058418 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201111 FILED AS OF DATE: 20201113 DATE AS OF CHANGE: 20201113 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ROTE WILLIAM E. CENTRAL INDEX KEY: 0001698262 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36257 FILM NUMBER: 201313385 MAIL ADDRESS: STREET 1: C/O RETROPHIN, INC. STREET 2: 3721 VALLEY CENTRE DRIVE, SUITE 200 CITY: SAN DIEGO STATE: CA ZIP: 92130 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Retrophin, Inc. CENTRAL INDEX KEY: 0001438533 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 262383102 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 3721 VALLEY CENTRE DR. STREET 2: SUITE 200 CITY: SAN DIEGO STATE: CA ZIP: 92130 BUSINESS PHONE: 760-260-8600 MAIL ADDRESS: STREET 1: 3721 VALLEY CENTRE DR. STREET 2: SUITE 200 CITY: SAN DIEGO STATE: CA ZIP: 92130 FORMER COMPANY: FORMER CONFORMED NAME: Desert Gateway, Inc. DATE OF NAME CHANGE: 20080625 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2020-11-11 0 0001438533 Retrophin, Inc. RTRX 0001698262 ROTE WILLIAM E. C/O RETROPHIN, INC. 3721 VALLEY CENTRE DRIVE, STE 200 SAN DIEGO CA 92130 0 1 0 0 Senior Vice President, R&D Common Stock 2020-11-11 4 A 0 5000 0.00 A 29086 D Common Stock 2020-11-13 4 S 0 2500 23.6224 D 26586 D On February 13, 2017, the reporting person was granted performance restricted stock units (PRSUs) covering 15,000 shares of the Issuer's common stock, which vest upon the satisfaction of certain performance criteria. On November 11, 2020, a portion of the PRSUs vested upon the Issuer's confirmation that the Issuer had completed a significant acquisition. The sales reported in this Form 4 were made pursuant to a written plan meeting the requirements of Rule 10b5-1(c) of the Securities Exchange Act of 1934, as amended, and includes the sale of shares to cover the tax obligation that occurred upon the vesting of performance restricted stock units. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $23.36 to $23.96, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. /s/ Elizabeth E. Reed, Attorney-in-Fact 2020-11-13