Blavatnik Len's Form 4 filing
Upstream Bio, Inc. (UPB) · filed Oct 17, 2024
- Accession no.
- 0000950170-24-115295
- Filed
- Oct 17, 2024, 4:05 PM ET
- Trade date
- Oct 15, 2024
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Checked
This filing lists 3 non-derivative transactions and 2 derivative transactions. Open-market purchases total $20.0M. It was filed 2 days after the trade.
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 |
|---|---|
| Blavatnik LenCIK 0001326628 | 10% Owner |
| Access Industries Holdings LLCCIK 0001391297 | 10% Owner |
| Access Industries Management, LLCCIK 0001508226 | 10% Owner |
| AI Biotechnology LLCCIK 0001942670 | 10% Owner |
| AI Upstream LLCCIK 0002039907 | 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 |
|---|---|---|---|---|---|---|---|---|
| Oct 15, 2024 | Common Stock | PPurchaseAcquired | +1,175,000 | $17.00 | +$19,975,000 | 1,175,000 | Direct | |
| Oct 15, 2024 | Common Stock | CConversionAcquired | +3,147,000 | – | – | 4,322,000 | Direct | |
| Oct 15, 2024 | Common Stock | CConversionAcquired | +1,172,410 | – | – | 5,494,410 | 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 |
|---|---|---|---|---|---|---|---|---|
| Oct 15, 2024 | Common Stock | CConversionDisposed | −3,147,000 | – | – | 0 | Direct | |
| Oct 15, 2024 | Common Stock | CConversionDisposed | −1,172,410 | – | – | 0 | Direct |
Footnotes
Livermore does not store Form 4 footnotes. For price ranges, how indirect holdings are held and trading plan details, read the original on SEC EDGAR.