Nodelman Oleg's Form 4/A amendment
AmendedNuvation Bio Inc. (NUVB) · filed Sep 22, 2023
- Accession no.
- 0000935836-23-000621
- Filed
- Sep 22, 2023, 3:44 PM ET
- Trade date
- Sep 19-21, 2023
- Filing delay
- 3 days
- Rule 10b5-1 plan
- Not checked
- Original filed
- Sep 21, 2023
This filing lists 3 non-derivative transactions. Open-market purchases total $6.69M. It was filed 3 days after the trade.
This amendment replaces 0000935836-23-000619 (filed Sep 21, 2023).
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 |
|---|---|
| Nodelman OlegCIK 0001454385 | Director |
| EcoR1 Capital Fund, L.P.CIK 0001567938 | Director |
| EcoR1 Capital, LLCCIK 0001587114 | Director |
| EcoR1 Capital Fund Qualified, L.P.CIK 0001598292 | Director |
| EcoR1 Venture Opportunity Fund, LPCIK 0001778011 | Director |
| Biotech Opportunity GP, LLCCIK 0001816370 | Director |
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 19, 2023 | Class A Common Stock | PPurchaseAcquired | +5,143,000 | $1.26 | +$6,460,636.6 | 12,504,675 | Indirect | |
| Sep 20, 2023 | Class A Common Stock | PPurchaseAcquired | +117,100 | $1.36 | +$159,490.2 | 12,621,775 | Indirect | |
| Sep 21, 2023 | Class A Common Stock | PPurchaseAcquired | +53,000 | $1.36 | +$72,138.3 | 12,674,775 | 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
EcoR1 Capital, LLC ("EcoR1") is the investment adviser to EcoR1 Capital Fund, L.P. ("Capital Fund"), EcoR1 Capital Fund Qualified, L.P. ("Qualified Fund") and EcoR1 Venture Opportunity Fund, L.P. ("Venture Fund"). EcoR1 is the general partner of Capital Fund and Qualified Fund, and Biotech Opportunity GP, LLC ("Biotech") is the general partner of Venture Fund. Mr. Nodelman is the manager and controlling owner of EcoR1 and Biotech. The funds hold these securities directly for the benefit of their investors. EcoR1 indirectly beneficially owns them as the investment adviser to the funds. Mr. Nodelman indirectly beneficially owns them as the control person of EcoR1. The reporting persons disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein.
- F2
Qualified Fund is the record holder of these securities.
- F3
On 9/21/2023, the reporting persons filed a Form 4 (the "Original Form 4") that inadvertently identified the date of this transaction as 2/19/2023. As reported in this amendment, the date of this transaction was 9/19/2023. The Original Form 4 also inadvertently identified the date of the earliest transaction reported in the Original Form 4 as 2/19/2023. As reported in this amendment, the date of the earliest transaction was 9/19/2023.
- F4
The Original Form 4 inadvertently identified the date of this transaction as 2/20/2023. As reported in this amendment, the date of this transaction was 9/20/2023.
- F5
Original Form 4 inadvertently identified the date of this transaction as 2/21/2023. As reported in this amendment, the date of this transaction was 9/21/2023.