Ferrell Jeffrey's Form 4 filing
Biora Therapeutics, Inc. (BIOR) · filed Nov 14, 2022
- Accession no.
- 0000899243-22-035696
- Filed
- Nov 14, 2022, 4:30 PM ET
- Trade date
- Nov 9, 2022
- Filing delay
- 5 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 1 non-derivative transaction and 3 derivative transactions. It was filed 5 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 |
|---|---|
| Ferrell JeffreyCIK 0001394967 | Director, 10% Owner |
| Athyrium Opportunities Associates III GP LLCCIK 0001815211 | 10% Owner |
| Athyrium Funds GP Holdings LLCCIK 0001815225 | 10% Owner |
| Athyrium Opportunities Associates Co-Invest LLCCIK 0001815259 | 10% Owner |
| Athyrium Opportunities III Co-Invest 1 LPCIK 0001815260 | 10% Owner |
| Athyrium Opportunities 2020 LPCIK 0001815261 | 10% Owner |
| Athyrium Opportunities Associates III LPCIK 0001815262 | 10% Owner |
| Athyrium Opportunities III Acquisition 2 LPCIK 0001815268 | 10% Owner |
| Athyrium Opportunities III Acquisition LPCIK 0001835266 | 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 9, 2022 | Common Stock | PPurchaseAcquired | +12,506,250 | –F1 | – | 42,362,097 | 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 9, 2022 | Common Stock | PPurchaseAcquired | +12,506,250 | –F1 | – | 12,506,250 | Indirect | |
| Nov 9, 2022 | Common Stock | DReturned to the companyDisposed | −8,097,166 | –F6 | – | 0 | Indirect | |
| Nov 9, 2022 | Common Stock | AGrant or awardAcquired | +8,097,166 | –F6 | – | 8,097,166 | Indirect |
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 shares of the Issuer's common stock and the Warrant were purchased for an aggregate purchase price of $3,751,875, or $0.30 per unit, with each unit consisting of one share of the Issuer's common stock and the right to buy an additional share of the Issuer's common stock for the exercise price specified in the Warrant.
Referenced by the price of 1 transaction in Table I and 1 transaction in Table II.
- F6
The two reported transactions involved an amendment of an outstanding warrant, resulting in the cancellation of the "old" warrant and the grant of a replacement warrant. The warrant was originally granted on June 14, 2021 and allowed for the purchase of up to 8,097,166 shares of the Issuer's common stock. The replacement warrant has a lower exercise price and is exercisable at any time between on or after May 9, 2023 and until May 9, 2028, but not thereafter.
Referenced by the price of 2 transactions in Table II.