Caligan Partners LP's Form 4 filing
Alimera Sciences Inc (ALIM) · filed Sep 15, 2023
- Accession no.
- 0000902664-23-004790
- Filed
- Sep 15, 2023, 4:05 PM ET
- Trade date
- Sep 14, 2023
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not checked
This filing lists 2 non-derivative transactions and 1 derivative transaction. Open-market purchases total $1.96M. Open-market sales total $1.96M. It was filed 1 day 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 |
|---|---|
| Caligan Partners LPCIK 0001727492 | 10% Owner |
| Johnson David EdwardCIK 0001785557 | 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 |
|---|---|---|---|---|---|---|---|---|
| Sep 14, 2023 | Common Stock, par value 0.01 per share (Common Stock) | SSaleDisposed | −579,000 | $3.39 | −$1,962,810 | 16,256,154 | Indirect | |
| Sep 14, 2023 | Common Stock | PPurchaseAcquired | +579,000 | $3.39 | +$1,962,810 | 16,835,154 | 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 |
|---|---|---|---|---|---|---|---|---|
| Sep 14, 2023 | Common Stock | JOtherAcquired | +490,000 | –F3 | – | 490,000 | 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.
- F3
At the market close on September 14, 2023, the expiration date of the notional principal amount derivative agreements in the form of cash settled swaps previously reported on the Form 3 filed by the Reporting Persons on August 11, 2023, was extended from February 2, 2024 to September 26, 2025.
Referenced by the price of 1 transaction in Table II.
Remarks
Each Reporting Person disclaims beneficial ownership in the securities reported on this Form 4 except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.