Rolfe Lindsey's Form 4 filing
Clovis Oncology, Inc. (CLVS) · filed Nov 3, 2022
- Accession no.
- 0000899243-22-034890
- Filed
- Nov 3, 2022
- Trade date
- Nov 1-2, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 4 non-derivative transactions and 2 derivative transactions. Open-market sales total $4.18K. 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 |
|---|---|
| Rolfe LindseyCIK 0001650504 | Officer (See Remarks) |
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 1, 2022 | Common Stock | MOption exerciseAcquired | +3,749 | –F1 | – | 113,327 | Direct | |
| Nov 2, 2022 | Common Stock | SSaleDisposed | −1,908 | $0.98F3 | −$1,869.84 | 111,419 | Direct | |
| Nov 1, 2022 | Common Stock | MOption exerciseAcquired | +4,625 | –F1 | – | 116,044 | Direct | |
| Nov 2, 2022 | Common Stock | SSaleDisposed | −2,353 | $0.98F3 | −$2,305.94 | 113,691 | 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 1, 2022 | Common Stock | MOption exerciseDisposed | −3,749 | $0.00 | $0 | 3,750 | Direct | |
| Nov 1, 2022 | Common Stock | MOption exerciseDisposed | −4,625 | $0.00 | $0 | 23,125 | 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
Each Restricted Stock Unit represents the right to receive one share of Common Stock.
Referenced by the price of 2 transactions in Table I.
- F3
This transaction was executed in multiple trades at prices ranging from $ 0.9621 to $9.9830. The price reported above reflects the weighted average sale price. 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 2 transactions in Table I.
Remarks
Chief Medical Officer and Executive Vice President of Clinical and Preclinical Development and Pharmacovigilance