Carlson Capital, L.P.'s Form 4 filing
TFF Pharmaceuticals, Inc. (TFFP) · filed Aug 17, 2023
- Accession no.
- 0000899243-23-018209
- Filed
- Aug 17, 2023, 5:29 PM ET
- Trade date
- Aug 15-16, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not checked
This filing lists 2 non-derivative transactions. Open-market sales total $94.4K. 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 |
|---|---|
| Carlson Capital, L.P.CIK 0001056973 | 10% Owner |
| Carlson Clint DuaneCIK 0001404625 | 10% Owner |
| Double Black Diamond Offshore LtdCIK 0001404976 | 10% Owner |
| Asgard Investment Corp. IICIK 0001503915 | 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 |
|---|---|---|---|---|---|---|---|---|
| Aug 15, 2023 | Common Stock, par value $0.001 per share (the "Common Stock" | SSaleDisposed | −215,000 | $0.4374F1 | −$94,041 | 5,065,000 | Indirect | |
| Aug 16, 2023 | Common Stock | SSaleDisposed | −1,000 | $0.3916F4 | −$391.6 | 5,064,000 | 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 transactions referenced herein provide for various per share prices ranging from $0.405886 to $0.46. The Reporting Persons undertake to provide to the Staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares purchased or sold at each separate price.
Referenced by the price of 1 transaction in Table I.
- F4
The transactions referenced herein provide for various per share prices ranging from $0.38 to $0.436. The Reporting Persons undertake to provide to the Staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares purchased or sold at each separate price.
Referenced by the price of 1 transaction in Table I.