Craig Adam R's Form 4/A amendment
AmendedCti Biopharma Corp (CTIC) · filed Jun 3, 2022
- Accession no.
- 0000891293-22-000028
- Filed
- Jun 3, 2022
- Trade date
- Jun 1-3, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Jun 3, 2022
This filing lists 3 derivative transactions. It carries over 6 transactions from the original filing that it did not restate. Open-market sales total $433.5K. It was filed 2 days after the trade.
This amendment restates part of 0000891293-22-000027 (filed Jun 3, 2022). The transactions it did not restate still count and are listed below.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Craig Adam RCIK 0001339498 | Director, Officer (President and CEO) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
This filing has no transactions of this kind.
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jun 1, 2022 | Common Stock | MOption exerciseDisposed | −27,000 | $0.00 | $0 | 1,273,000 | Direct | |
| Jun 2, 2022 | Common Stock | MOption exerciseDisposed | −27,000 | $0.00 | $0 | 1,246,000 | Direct | |
| Jun 3, 2022 | Common Stock | MOption exerciseDisposed | −18,223 | $0.00 | $0 | 1,227,777 | Direct |
Carried over from the original filing
This amendment restates only part of the original filing. The original's other transactions still stand, and the trade tables on Livermore count them under this amendment.
From 0000891293-22-000027 (filed Jun 3, 2022).
Non-derivative securities (Table I)
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jun 1, 2022 | common stock | MOption exerciseAcquired | +27,000 | $0.84 | +$22,680 | 43,678 | Direct | |
| Jun 1, 2022 | common stock | SSaleDisposed | −27,000 | $6.00 | −$162,000 | 16,678 | Direct | |
| Jun 2, 2022 | common stock | MOption exerciseAcquired | +27,000 | $0.84 | +$22,680 | 43,678 | Direct | |
| Jun 2, 2022 | common stock | SSaleDisposed | −27,000 | $6.00 | −$162,000 | 16,678 | Direct | |
| Jun 3, 2022 | common stock | MOption exerciseAcquired | +18,223 | $0.84 | +$15,307.32 | 34,901 | Direct | |
| Jun 3, 2022 | common stock | SSaleDisposed | −18,223 | $6.01 | −$109,520.23 | 16,678 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
This Form 4/A amends the description of Title of Derivative Security previously reported on Form 4 filed on 6-3-2022.
- F2
One third of the shares underlying the option vested on 2/19/2020 and annually thereafter until all the underlying shares were fully vested on 2/19/2022.