Craig Adam R's Form 4 filing
Cti Biopharma Corp (CTIC) · filed Nov 14, 2022
- Accession no.
- 0000891293-22-000056
- Filed
- Nov 14, 2022
- Trade date
- Nov 9-10, 2022
- Filing delay
- 5 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 12 non-derivative transactions and 2 derivative transactions. Open-market sales total $1.45M. It was filed 5 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 |
|---|---|
| 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.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 9, 2022 | common stock | MOption exerciseAcquired | +53,996 | $0.84 | +$45,356.64 | 81,857 | Direct | |
| Nov 9, 2022 | common stock | SSaleDisposed | −46,100 | $6.00 | −$276,600 | 35,757 | Direct | |
| Nov 9, 2022 | common stock | SSaleDisposed | −7,596 | $6.01 | −$45,651.96 | 28,161 | Direct | |
| Nov 9, 2022 | common stock | SSaleDisposed | −300 | $6.02 | −$1,806 | 27,861 | Direct | |
| Nov 10, 2022 | common stock | MOption exerciseAcquired | +188,304 | $0.84 | +$158,175.36 | 216,165 | Direct | |
| Nov 10, 2022 | common stock | SSaleDisposed | −136,408 | $6.00 | −$818,448 | 79,757 | Direct | |
| Nov 10, 2022 | common stock | SSaleDisposed | −200 | $6.01 | −$1,202 | 79,557 | Direct | |
| Nov 10, 2022 | common stock | SSaleDisposed | −26,700 | $6.01 | −$160,467 | 52,857 | Direct | |
| Nov 10, 2022 | common stock | SSaleDisposed | −100 | $6.02 | −$602 | 52,757 | Direct | |
| Nov 10, 2022 | common stock | SSaleDisposed | −16,396 | $6.02 | −$98,703.92 | 36,361 | Direct | |
| Nov 10, 2022 | common stock | SSaleDisposed | −5,800 | $6.03 | −$34,974 | 30,561 | Direct | |
| Nov 10, 2022 | common stock | SSaleDisposed | −2,700 | $6.04 | −$16,308 | 27,861 | 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 9, 2022 | Common Stock | MOption exerciseDisposed | −53,996 | $0.00 | $0 | 859,258 | Direct | |
| Nov 10, 2022 | Common Stock | MOption exerciseDisposed | −188,304 | $0.00 | $0 | 670,954 | 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.
No transaction price on this filing refers to a footnote.