Metzger Michael A's Form 4 filing
Cti Biopharma Corp (CTIC) · filed Nov 10, 2022
- Accession no.
- 0000891293-22-000055
- Filed
- Nov 10, 2022
- Trade date
- Nov 8, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 5 non-derivative transactions and 2 derivative transactions. Open-market sales total $511.2K. It was filed 2 days after the trade.
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 |
|---|---|
| Metzger Michael ACIK 0001507220 | Director |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 8, 2022 | common stock | MOption exerciseAcquired | +28,500 | $0.84 | +$23,940 | 28,500 | Direct | |
| Nov 8, 2022 | common stock | MOption exerciseAcquired | +63,000 | $1.00 | +$63,000 | 91,500 | Direct | |
| Nov 8, 2022 | common stock | SSaleDisposed | −50,058 | $5.53F2 | −$276,820.74 | 41,442 | Direct | |
| Nov 8, 2022 | common stock | SSaleDisposed | −36,942 | $5.65F3 | −$208,722.3 | 4,500 | Direct | |
| Nov 8, 2022 | common stock | SSaleDisposed | −4,500 | $5.70F4 | −$25,650 | 0 | Direct |
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 |
|---|---|---|---|---|---|---|---|---|
| Nov 8, 2022 | Common Stock | MOption exerciseDisposed | −28,500 | $0.00 | $0 | 0 | Direct | |
| Nov 8, 2022 | Common Stock | MOption exerciseDisposed | −63,000 | $0.00 | $0 | 63,000 | 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.
- F2
Reflects sales of common stock executed in multiple transactions at prices ranging from $ 5.50 to $ 5.59. The price reported reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request by the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected.
Referenced by the price of 1 transaction in Table I.
- F3
Reflects sales of common stock executed in multiple transactions at prices ranging from $ 5.60 to $ 5.695. The price reported reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request by the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected.
Referenced by the price of 1 transaction in Table I.
- F4
Reflects sales of common stock executed in multiple transactions at prices ranging from $ 5.70 to $ 5.72. The price reported reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request by the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected.
Referenced by the price of 1 transaction in Table I.