Hively Brad's Form 4/A amendment
AmendedStarling Oncology, Inc. (DFPH) · filed Apr 28, 2025
- Accession no.
- 0000935836-25-000296
- Filed
- Apr 28, 2025, 7:20 PM ET
- Trade date
- Mar 26, 2025
- Filing delay
- 33 days
- Rule 10b5-1 plan
- Not checked
- Original filed
- Mar 28, 2025
This filing lists 1 non-derivative transaction and 1 derivative transaction. Open-market purchases total $47.2K. It was filed 33 days after the trade.
This amendment replaces 0001079973-25-000521 (filed Mar 28, 2025).
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 |
|---|---|
| Hively BradCIK 0001891124 | 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 |
|---|---|---|---|---|---|---|---|---|
| Mar 26, 2025 | Common Stock | PPurchaseAcquired | +45,280 | $1.04F4 | +$47,168.18 | 712,033 | 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.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Mar 26, 2025 | Common Stock | PPurchaseAcquired | +22,640 | $0.125F4 | +$2,830 | 22,640 | Direct |
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
This amendment is filed to correct the number of shares of Common Stock and number of Common Warrants acquired by the reporting person in the transaction reported on the original Form 4 filed on March 28, 2025. As a result of this correction, the amount of securities beneficially owned following the reported transaction specified in Table I, Column 5 and Table II, Column 9 have also been corrected.
- F2
Represents securities purchased in a private placement transaction directly from the Company pursuant to a Securities Purchase Agreement, dated March 24, 2025 (the "Private Placement"). Pursuant to the terms of the Securities Purchase Agreement, the Company issued the reporting person Private Placement units consisting of two shares of the Company's common stock ("Common Stock") and a common warrant ("Common Warrant") to purchase one share of Common Stock (the "Private Placement Unit").
- F3
The issuance of the securities to the reporting person pursuant to the Private Placement was approved by the Company's board of directors and was deemed an exempt transaction pursuant to Rule 16b-3 of the Securities Exchange Act of 1934, as amended (the "Exchange Act").
- F4
Each Private Placement Unit was purchased at a price of $2.2084 per unit, with a cost per share of Common Stock of $1.0417 and a cost per Common Warrant of $0.1250.
Referenced by the price of 1 transaction in Table I and 1 transaction in Table II.
- F5
The reporting person may not exercise any portion of a Common Warrant to the extent that the reporting person would beneficially own more than 4.99% of the number of shares of Common Stock outstanding immediately prior to or after giving effect to such exercise, as such percentage ownership is determined in accordance with Section 13(d) under the Exchange Act.