Deerfield Management Company, L.P.'s Form 4 filing
DA32 Life Science Tech Acquisition Corp. (DALS) · filed Aug 3, 2021
- Accession no.
- 0000899243-21-031411
- Filed
- Aug 3, 2021, 8:27 PM ET
- Trade date
- Jul 30, 2021
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 2 non-derivative transactions. Open-market purchases total $16.0M. It was filed 4 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 |
|---|---|
| Deerfield Management Company, L.P.CIK 0001009258 | Director, 10% Owner, Other: Director by Deputization |
| Deerfield Mgmt L.P.CIK 0001010823 | Director, 10% Owner, Other: Director by deputization |
| Deerfield Partners, L.P.CIK 0001301041 | Director, 10% Owner, Other: Director by deputization |
| Flynn James ECIK 0001352546 | Director, 10% Owner, Other: Director by deputization |
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 |
|---|---|---|---|---|---|---|---|---|
| Jul 30, 2021 | Class A Common Stock | PPurchaseAcquired | +1,600,000 | $10.00 | +$16,000,000 | 1,600,000 | Indirect | Duplicate filing |
| Jul 30, 2021 | Class A Common Stock | AGrant or awardAcquired | +650,000 | $10.00 | +$6,500,000 | 2,250,000 | Indirect | Duplicate filing |
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.
Remarks
Andrew ElBardissi, an employee of Deerfield Management Company, serves as a director of the Issuer. See Exhibit 99.1 - Joint Filer Information, which is incorporated herein by reference and describes in further detail the relationships of the Reporting Persons to the Issuer. Exhibit 24 - Power of Attorney