Fong James K's Form 4 filing
Cti Biopharma Corp (CTIC) · filed Jan 26, 2023
- Accession no.
- 0000891293-23-000003
- Filed
- Jan 26, 2023
- Trade date
- Feb 19, 2019-Jan 24, 2023
- Filing delay
- 1,437 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 2 non-derivative transactions and 2 derivative transactions. Open-market sales total $600.0K. It was filed 1437 days after the trade, past the 2-business-day deadline.
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 |
|---|---|
| Fong James KCIK 0001916577 | Officer (EVP & Chief Commercial Officer) |
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 |
|---|---|---|---|---|---|---|---|---|
| Jan 24, 2023 | common stock | MOption exerciseAcquired | +100,000 | $0.95 | +$95,000 | 103,565 | Direct | |
| Jan 24, 2023 | common stock | SSaleDisposed | −100,000 | $6.00 | −$600,000 | 3,565 | 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 |
|---|---|---|---|---|---|---|---|---|
| Feb 19, 2019 | Common Stock | AGrant or awardAcquired | +288,000 | $0.00 | $0 | 288,000 | Direct | |
| Jan 24, 2023 | Common Stock | MOption exerciseDisposed | −100,000 | $0.00 | $0 | 188,000 | 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.
No transaction price on this filing refers to a footnote.