UNITED STATES OMB APPROVAL
  SECURITIES AND EXCHANGE COMMISSION OMB Number:    3235-0101
  Washington, D.C. 20549 Expires:    February 28, 2014
    Estimated average burden
  FORM 144 hours per response     2.00
  NOTICE OF PROPOSED SALE OF SECURITIES SEC USE ONLY
  PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 DOCUMENT SEQUENCE NO.
     
    CUSIP NUMBER
ATTENTION:  Transmit for filing 3 copies of this form concurrently with either placing an order with a broker to execute sale or executing a sale directly with a market maker.  

 

1 (a) NAME OF ISSUER (Please type or print) (b) IRS IDENT  NO. (c) S.E.C. FILE NO WORK LOCATION
Retrophin, Inc. 27-4842691 001-36257  
1 (d) ADDRESS OF ISSUER STREET  CITY STATE ZIP CODE (e) TELEPHONE NO
777 Third Avenue, 22nd Floor   New York NY 10017 AREA CODE NUMBER
          646 837-5863
2 (a) NAME OF PERSON FOR WHOSE ACCOUNT THE SECURITIES ARE TO BE SOLD   (b) RELATIONSHIP TO ISSUER (c) ADDRESS STREET  CITY STATE ZIP CODE
Martin Shkreli   None 101 Avenue of the Americas, 9th Floor  New York NY 10013

 

INSTRUCTION:  The person filing this notice should contact the issuer to obtain the I.R.S. Identification Number and the S.E.C. File Number.

 

3 (a) (b) SEC USE ONLY (c) (d) (e) (f) (g)
Title of the   Name and Address of Each Broker   Number of Shares Aggregate Number of Shares Approximate Name of Each

Class of

Securities To Be Sold

Through Whom the Securities are to be Offered or Each Market Maker who is Acquiring the Securities

Broker-Dealer

File Number

or Other Units

To Be Sold

(See instr. 3(c))

Market

Value

(See instr. 3(d))

or Other Units

Outstanding

(See instr. 3(e))

Date of Sale

(See instr. 3(f))

(MO.  DAY  YR.)

Securities

Exchange

(See instr. 3(g))

Common Stock

UBS Financial Services Inc.

299 Park Avenue 25th Floor

New York, NY 10171

    511,341  $4,208,336   26,699,847   11/24/14   NASDAQ Global Market

 

INSTRUCTIONS:        
1. (a) Name of issuer   3. (a) Title of the class of securities to be sold
  (b) Issuer’s I.R.S. Identification Number     (b) Name and address of each broker through whom the securities are intended to be sold
  (c) Issuer’s S.E.C. file number, if any     (c) Number of shares or other units to be sold (if debt securities, give the aggregate face amount)
  (d) Issuer’s address, including zip code     (d) Aggregate market value of the securities to be sold as of a specified date within 10 days prior to filing of this notice
  (e) Issuer’s telephone number, including area code     (e) Number of shares or other units of the class outstanding, or if debt securities the face amount thereof outstanding, as shown by the most recent report or statement published by the issuer
2. (a) Name of person for whose account the securities are to be sold     (f) Approximate date on which the securities are to be sold
(b) Such person’s relationship to the issuer (e.g., officer, director, 10% stockholder, or member of immediate family of any of the foregoing)     (g) Name of each securities exchange, if any, on which the securities are intended to be sold
  (c) Such person’s address, including zip code        

 

Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.

 

SEC 1147 (08-07)

 

 
 

 

TABLE I — SECURITIES TO BE SOLD

Furnish the following information with respect to the acquisition of the securities to be sold

and with respect to the payment of all or any part of the purchase price or other consideration therefor:

 

Title of

the Class

Date you

Acquired

Nature of Acquisition Transaction

Name of Person from Whom Acquired

(If gift, also give date donor acquired)

Amount of

Securities Acquired

Date of

Payment

Nature of Payment
Common Stock 12/12/12 Merger Desert Gateway, Inc.   2,577,755 12/12/12

 

Consideration for Shares of Retrophin, Inc.

 

INSTRUCTIONS:   If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

 

TABLE II — SECURITIES SOLD DURING THE PAST 3 MONTHS

 

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

 

Name and Address of Seller Title of Securities Sold Date of Sale

Amount of

Securities Sold

Gross Proceeds

Martin Shkreli

101 Avenue of the Americas

9th Floor

 New York, NY 10013

  Common Stock

09/09/14

09/12/14

11/14/14

11/17/14

11/18/14

11/19/14

11/20/14

11/21/14

 123,000 

 205,000 

100,000

100,000

254,975

329,824

134,354

252,847

1,069,166

1,789,679

1,022,792

   936,658

2,343,506

2,817,095

1,105,992

2,116,041

 

EXPLANATION OF RESPONSES:

 

REMARKS:

 

INSTRUCTIONS:   ATTENTION:
See the definition of “person” in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.   The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

  

  November 23, 2014     /s/ Martin Shkreli
  DATE OF NOTICE     (SIGNATURE)
         
       
  DATE OF PLAN ADOPTION OR GIVING OF INSTRUCTION, IF RELYING ON RULE 10B5-1   The notice shall be signed by the person for whose account the securities are to be sold. At least one copy of the notice shall be manually signed. Any copies not manually signed shall bear typed or printed signatures.

  

  ATTENTION:  Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)