Gordon Carl L's Form 4 filing
Tessera Defense & Homeland Security Inc.HLSQ · filed Mar 17, 2023
- Accession no.
- 0000947871-23-000336
- Filed
- Mar 17, 2023, 4:29 PM ET
- Trade date
- Feb 27, 2023
- Filing delay
- 18 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 1 non-derivative transaction and 1 derivative transaction. Open-market purchases total $85.3K. It was filed 18 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 |
|---|---|
| Gordon Carl LCIK 0001282930 | 10% Owner |
| OrbiMed Israel GP Ltd.CIK 0001569590 | 10% Owner |
| OrbiMed Israel BioFund GP Limited PartnershipCIK 0001569821 | 10% Owner |
| Chimovits ErezCIK 0001706399 | 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 |
|---|---|---|---|---|---|---|---|---|
| Feb 27, 2023 | Common Stock | PPurchaseAcquired | +348,000 | $0.245 | +$85,260 | 3,161,489 | 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 |
|---|---|---|---|---|---|---|---|---|
| Feb 27, 2023 | Common Stock | PPurchaseAcquired | +1,789,959 | –F1 | – | 1,789,959 | 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
These shares of the Issuer's common stock and warrants to purchase shares of the Issuer's common stock were purchased from the Issuer in a private placement. The warrants are exercisable for one share of the Issuer's common stock per warrant, subject to an issuance limitation that prohibits the holder from exercising the warrants to the extent that after giving effect to such issuance after exercise, the holder (together with the holder's affiliates and any other persons acting as a group together with the holder or any of the holder's affiliates, including the Reporting Persons) would beneficially own in excess of 9.99% of the shares of common stock outstanding immediately after giving effect to the issuance of the shares of common stock issuance upon exercise of the warrants.
Referenced by the price of 1 transaction in Table II.