Schuler Jack W's Form 4 filing
YIELD10 Bioscience, Inc. (YTEN) · filed Oct 10, 2023
- Accession no.
- 0000908834-23-000120
- Filed
- Oct 10, 2023
- Trade date
- Aug 15, 2023
- Filing delay
- 56 daysLate
- Rule 10b5-1 plan
- Not checked
This filing lists 1 non-derivative transaction and 1 derivative transaction. Open-market purchases total $497.3K. It was filed 56 days after the trade, past the 2-business-day deadline.
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 |
|---|---|
| Schuler Jack WCIK 0001021412 | 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 | PPurchaseAcquired | +765,000 | $0.65F1 | +$497,250 | 1,637,956 | 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 |
|---|---|---|---|---|---|---|---|---|
| Aug 15, 2023 | Common Stock | PPurchaseAcquired | +765,000 | –F1 | – | 765,000 | 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
On August 15, 2023, the Issuer completed an offering (the "Offering"), in which the Issuer issued and sold 5,750,000 units (the "Units"), each consisting of (a) one share of Common Stock and (b) one warrant (the "Warrants") to purchase one share of Common Stock. The Units were sold at a per Unit offering price of $0.65. In the Offering, the Jack W. Schuler Living Trust (the "Living Trust") purchased 765,000 Units comprised of 765,000 shares of Common Stock and 765,000 Warrants.
Referenced by the price of 1 transaction in Table I and 1 transaction in Table II.