Goodman Corey S's Form 4 filing
Artiva Biotherapeutics, Inc. (ARTV) · filed Jul 22, 2024
- Accession no.
- 0000905148-24-001964
- Filed
- Jul 22, 2024, 8:26 PM ET
- Trade date
- Jul 22, 2024
- Filing delay
- Same day
- Rule 10b5-1 plan
- Not checked
This filing lists 4 non-derivative transactions and 2 derivative transactions. Open-market purchases total $5.00M. It was filed on the trade date.
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 |
|---|---|
| Goodman Corey SCIK 0001278411 | 10% Owner |
| Adelman Robert JCIK 0001329161 | 10% Owner |
| venBio Global Strategic Fund III, L.P.CIK 0001739920 | 10% Owner |
| Venbio Global Strategic GP III, LtdCIK 0001869300 | 10% Owner |
| Venbio Global Strategic GP III, L.P.CIK 0001869303 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jul 22, 2024 | Common Stock | CConversionAcquired | +843,592 | –F1 | – | 843,592 | Direct | |
| Jul 22, 2024 | Common Stock | CConversionAcquired | +214,692 | –F1 | – | 1,058,284 | Direct | |
| Jul 22, 2024 | Common Stock | JOtherAcquired | +461,687 | –F3 | – | 1,519,971 | Direct | |
| Jul 22, 2024 | Common Stock | PPurchaseAcquired | +416,666 | $12.00 | +$4,999,992 | 1,936,637 | 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.
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 share of Series A Preferred Stock and Series B Preferred Stock (collectively, the "Preferred Stock") converted into shares of Common Stock of the Issuer on a one-for-one basis without payment of further consideration. Upon the closing of the Issuer's initial public offering (the "IPO"), the Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Preferred Stock had no expiration date.
Referenced by the price of 2 transactions in Table I and 2 transactions in Table II.
- F3
Represents the conversion of outstanding simple agreement for future equity in the amount of approximately $4,709,212 into shares of the Issuer's common stock upon closing of the Issuer's IPO at a 15% discount to the $12 IPO price, or $10.20.
Referenced by the price of 1 transaction in Table I.
Remarks
Dr. Aaron Royston is a director of venBio Ltd. However, Dr. Royston disclaims beneficial ownership over the securities held by venBio III.