Evans John M.'s Form 4/A amendment
AmendedBeam Therapeutics Inc. (BEAM) · filed Feb 2, 2022
- Accession no.
- 0000899243-22-004197
- Filed
- Feb 2, 2022
- Trade date
- Nov 16, 2021-Jan 31, 2022
- Filing delay
- 78 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Jul 7, 2021
This filing lists 14 non-derivative transactions and 2 derivative transactions. Open-market sales total $3.34M. It was filed 78 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 |
|---|---|
| Evans John M.CIK 0001786304 | Director, Officer (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 16, 2021 | Common Stock | GGiftDisposed | −12,000 | $0.00 | $0 | 968,825 | Direct | |
| Jan 31, 2022 | Common Stock | SSaleDisposed | −801 | $63.79F3 | −$51,095.79 | 968,024 | Direct | |
| Jan 31, 2022 | Common Stock | SSaleDisposed | −2,172 | $64.47F4 | −$140,028.84 | 965,852 | Direct | |
| Jan 31, 2022 | Common Stock | SSaleDisposed | −3,177 | $65.49F5 | −$208,061.73 | 962,675 | Direct | |
| Jan 31, 2022 | Common Stock | SSaleDisposed | −6,337 | $66.55F6 | −$421,727.35 | 956,338 | Direct | |
| Jan 31, 2022 | Common Stock | SSaleDisposed | −13,535 | $67.44F7 | −$912,800.4 | 942,803 | Direct | |
| Jan 31, 2022 | Common Stock | SSaleDisposed | −3,978 | $68.15F8 | −$271,100.7 | 938,825 | Direct | |
| Jan 31, 2022 | Common Stock | MOption exerciseAcquired | +100,000 | $1.03 | +$103,000 | 1,038,825 | Direct | |
| Jan 31, 2022 | Common Stock | SSaleDisposed | −300 | $63.45F9 | −$19,035 | 182,700 | Indirect | |
| Jan 31, 2022 | Common Stock | SSaleDisposed | −1,615 | $64.46F10 | −$104,102.9 | 181,085 | Indirect | |
| Jan 31, 2022 | Common Stock | SSaleDisposed | −1,900 | $65.55F11 | −$124,545 | 179,185 | Indirect | |
| Jan 31, 2022 | Common Stock | SSaleDisposed | −4,105 | $66.48F12 | −$272,900.4 | 175,080 | Indirect | |
| Jan 31, 2022 | Common Stock | SSaleDisposed | −9,408 | $67.43F13 | −$634,381.44 | 165,672 | Indirect | |
| Jan 31, 2022 | Common Stock | SSaleDisposed | −2,672 | $68.16F14 | −$182,123.52 | 163,000 | Indirect |
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 |
|---|---|---|---|---|---|---|---|---|
| Jan 31, 2022 | Common Stock | MOption exerciseDisposed | −100,000 | $0.00 | $0 | 284,345 | Direct | |
| Jan 31, 2022 | Common Stock | AGrant or awardAcquired | +112,500 | $0.00 | $0 | 112,500 | 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
On each of July 7, 2021 and October 6, 2021, the reporting person filed a Form 4 which inadvertently reported an exercise of stock options in connection with certain sales of common stock. In fact, the reporting person did not exercise any stock options in connection with the sales reported on such Forms 4. Accordingly, the first line of each of Tables 1 and 2 of this Form 4 reflects the corrected number of securities beneficially owned by the reporting person prior to the transactions reported herein.
- F2
The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. The sale price reported is a weighted average price. The reporting person undertakes to provide to Beam Therapeutics Inc. ("BEAM"), any security holder of BEAM or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.
- F3
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $63.60 to $63.96, inclusive.
Referenced by the price of 1 transaction in Table I.
- F4
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $64.21 to $64.50, inclusive.
Referenced by the price of 1 transaction in Table I.
- F5
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $65.20 to $65.99, inclusive.
Referenced by the price of 1 transaction in Table I.
- F6
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $66.09 to $66.94, inclusive.
Referenced by the price of 1 transaction in Table I.
- F7
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $67.00 to $67.99, inclusive.
Referenced by the price of 1 transaction in Table I.
- F8
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $68.00 to $68.60, inclusive.
Referenced by the price of 1 transaction in Table I.
- F9
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $63.26 to $63.58, inclusive.
Referenced by the price of 1 transaction in Table I.
- F10
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $64.17 to $64.50, inclusive.
Referenced by the price of 1 transaction in Table I.
- F11
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $65.20 to $65.99, inclusive.
Referenced by the price of 1 transaction in Table I.
- F12
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $66.00 to $66.94, inclusive.
Referenced by the price of 1 transaction in Table I.
- F13
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $67.00 to $67.99, inclusive.
Referenced by the price of 1 transaction in Table I.
- F14
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $68.00 to $68.60, inclusive.
Referenced by the price of 1 transaction in Table I.
- F15
The option vests as to 25% on the first anniversary of the of the vesting commencement date, January 8, 2018, and at a rate of 2.78% each month thereafter until the option is fully vested.
- F16
The option vests in equal monthly installments each month following the date of grant for the subsequent 48 months, subject to the reporting person's continued service with BEAM through each vesting date.