Edelman Joseph's Form 4 filing
IsoPlexis Corp (ISO) · filed Oct 14, 2021
- Accession no.
- 0001062993-21-009543
- Filed
- Oct 14, 2021, 5:07 PM ET
- Trade date
- Oct 12, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 4 non-derivative transactions and 3 derivative transactions. Open-market purchases total $12.8M. 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 |
|---|---|
| Edelman JosephCIK 0001164426 | 10% Owner |
| Perceptive Advisors LLCCIK 0001224962 | 10% Owner |
| Perceptive Life Sciences Master Fund LtdCIK 0001249675 | 10% Owner |
| Pcof Eq Aiv III, LPCIK 0001877077 | 10% Owner |
| Perceptive Credit Holdings III, LPCIK 0001877078 | 10% Owner |
| Perceptive Credit Advisors, LLCCIK 0001877081 | 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 12, 2021 | Common Stock | CConversionAcquired | +2,704,587 | –F1 | – | 2,704,587 | Indirect | |
| Oct 12, 2021 | Common Stock | CConversionAcquired | +335,962 | –F1 | – | 335,962 | Indirect | |
| Oct 12, 2021 | Common Stock | CConversionAcquired | +204,949 | –F1 | – | 204,949 | Indirect | |
| Oct 12, 2021 | Common Stock | PPurchaseAcquired | +850,000 | $15.00 | +$12,750,000 | 3,554,587 | 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 |
|---|---|---|---|---|---|---|---|---|
| Oct 12, 2021 | Common Stock | CConversionDisposed | −2,600,112 | $0.00 | $0 | 0 | Indirect | |
| Oct 12, 2021 | Common Stock | CConversionDisposed | −322,984 | $0.00 | $0 | 0 | Indirect | |
| Oct 12, 2021 | Common Stock | CConversionDisposed | −197,032 | $0.00 | $0 | 0 | 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
Shares of Series D Redeemable Convertible Preferred Stock, par value $0.001, of the Issuer (the "Preferred Stock") were convertible on a one-for-eight basis into shares of Common Stock of the Issuer at the option of the holder at any time and automatically converted upon the closing of the Issuer's initial public offering (the "IPO"). The Preferred Stock had no expiration date.
Referenced by the price of 3 transactions in Table I.