Omega Fund V GP Manager, Ltd.'s Form 4 filing
Nuvation Bio Inc. (NUVB) · filed Nov 5, 2021
- Accession no.
- 0000899243-21-043357
- Filed
- Nov 5, 2021, 5:31 PM ET
- Trade date
- Nov 3, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 1 non-derivative transaction. Open-market sales total $18.5M. 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 |
|---|---|
| Omega Fund V GP Manager, Ltd.CIK 0001641348 | 10% Owner |
| Omega Fund V, L.P.CIK 0001641354 | 10% Owner |
| Omega Fund V GP, L.P.CIK 0001641355 | 10% Owner |
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 3, 2021 | Common Stock | SSaleDisposed | −2,000,000 | $9.25F1 | −$18,500,000 | 25,152,376 | 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
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.25 to $9.55 inclusive. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
Referenced by the price of 1 transaction in Table I.