Ebrahimi Farhad Fred's Form 4 filing
ViewRay, Inc. (VRAY) · filed Jul 21, 2023
- Accession no.
- 0000950170-23-033888
- Filed
- Jul 21, 2023, 7:34 PM ET
- Trade date
- Jul 17-20, 2023
- Filing delay
- 4 daysLate
- Rule 10b5-1 plan
- Not checked
This filing lists 16 non-derivative transactions and 10 derivative transactions. Open-market sales total $492.2K. It was filed 4 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 |
|---|---|
| Ebrahimi Farhad FredCIK 0001071351 | 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 17, 2023 | COMMON STOCK | XIn-the-money exerciseAcquired | +455,300 | $1.50 | +$682,950 | 8,511,200 | Indirect | |
| Jul 19, 2023 | COMMON STOCK | XIn-the-money exerciseAcquired | +3,300 | $2.00 | +$6,600 | 8,514,500 | Indirect | |
| Jul 19, 2023 | COMMON STOCK | XIn-the-money exerciseAcquired | +143,400 | $3.50 | +$501,900 | 8,657,900 | Indirect | |
| Jul 19, 2023 | COMMON STOCK | XIn-the-money exerciseAcquired | +204,600 | $1.50 | +$306,900 | 8,862,500 | Indirect | |
| Jul 20, 2023 | COMMON STOCK | SSaleDisposed | −1,852,262 | $0.06 | −$111,135.72 | 7,010,238 | Indirect | |
| Jul 19, 2023 | COMMON STOCK | XIn-the-money exerciseAcquired | +102,300 | $3.50 | +$358,050 | 1,000,000 | Indirect | |
| Jul 20, 2023 | COMMON STOCK | SSaleDisposed | −417,500 | $0.06 | −$25,050 | 582,500 | Indirect | |
| Jul 20, 2023 | COMMON STOCK | SSaleDisposed | −122,500 | $0.06 | −$7,350 | 382,000 | Indirect | |
| Jul 17, 2023 | COMMON STOCK | XIn-the-money exerciseAcquired | +41,000 | $1.50 | +$61,500 | 6,786,038 | Indirect | |
| Jul 18, 2023 | COMMON STOCK | XIn-the-money exerciseAcquired | +49,800 | $1.50 | +$74,700 | 6,835,838 | Indirect | |
| Jul 20, 2023 | COMMON STOCK | SSaleDisposed | −3,886,848 | $0.06 | −$233,210.88 | 2,948,990 | Indirect | |
| Jul 20, 2023 | COMMON STOCK | SSaleDisposed | −322,500 | $0.06 | −$19,350 | 277,500 | Indirect | |
| Jul 20, 2023 | COMMON STOCK | SSaleDisposed | −100,000 | $0.06 | −$6,000 | 0 | Indirect | |
| Jul 20, 2023 | COMMON STOCK | SSaleDisposed | −100,000 | $0.06 | −$6,000 | 0 | Indirect | |
| Jul 20, 2023 | COMMON STOCK | SSaleDisposed | −2,000 | $0.06 | −$120 | 0 | Indirect | |
| Jul 20, 2023 | COMMON STOCK | SSaleDisposed | −1,400,000 | $0.06 | −$84,000 | 0 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jul 17, 2023 | Common Stock | XIn-the-money exerciseDisposed | −55,500 | $0.00 | $0 | 1,168,100 | Indirect | |
| Jul 17, 2023 | Common Stock | XIn-the-money exerciseDisposed | −399,800 | $0.00 | $0 | 768,300 | Indirect | |
| Jul 19, 2023 | Common Stock | XIn-the-money exerciseDisposed | −3,300 | $0.00 | $0 | 765,000 | Indirect | |
| Jul 19, 2023 | Common Stock | XIn-the-money exerciseDisposed | −54,700 | $0.00 | $0 | 710,300 | Indirect | |
| Jul 19, 2023 | Common Stock | XIn-the-money exerciseDisposed | −88,700 | $0.00 | $0 | 621,600 | Indirect | |
| Jul 19, 2023 | Common Stock | XIn-the-money exerciseDisposed | −68,600 | $0.00 | $0 | 553,000 | Indirect | |
| Jul 19, 2023 | Common Stock | XIn-the-money exerciseDisposed | −136,000 | $0.00 | $0 | 417,000 | Indirect | |
| Jul 19, 2023 | Common Stock | XIn-the-money exerciseDisposed | −102,300 | $0.00 | $0 | 0 | Indirect | |
| Jul 17, 2023 | Common Stock | XIn-the-money exerciseDisposed | −41,000 | $0.00 | $0 | 102,600 | Indirect | |
| Jul 18, 2023 | Common Stock | XIn-the-money exerciseDisposed | −49,800 | $0.00 | $0 | 52,800 | 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.
No transaction price on this filing refers to a footnote.
Remarks
The Power of Attorney granting Brad Nelson authority to act as attorney-in-fact for Farhad Fred Ebrahimi was filed as exhibit A to a Form 13D filed with the Commission on April 27, 2023.