Edelman Joseph's Form 4 filing
CARGO Therapeutics, Inc. (CRGX) · filed Nov 14, 2023
- Accession no.
- 0001062993-23-020811
- Filed
- Nov 14, 2023, 4:32 PM ET
- Trade date
- Nov 14, 2023
- Filing delay
- Same day
- Rule 10b5-1 plan
- Not checked
This filing lists 3 non-derivative transactions and 1 derivative transaction. Open-market purchases total $10.0M. It was filed on the trade date.
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 | Other: Former 10% Owner |
| Perceptive Advisors LLCCIK 0001224962 | Other: Former 10% Owner |
| Perceptive Life Sciences Master Fund LtdCIK 0001249675 | Other: Former 10% Owner |
| Perceptive Xontogeny Venture Fund II, LPCIK 0001851820 | Other: Former 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 14, 2023 | Common Stock | CConversionAcquired | +2,579,502 | –F1 | – | 2,579,502 | Indirect | |
| Nov 14, 2023 | Common Stock | PPurchaseAcquired | +333,333 | $15.00 | +$4,999,995 | 2,912,835 | Indirect | |
| Nov 14, 2023 | Common Stock | PPurchaseAcquired | +333,333 | $15.00 | +$4,999,995 | 333,333 | 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 14, 2023 | Common Stock | CConversionDisposed | −2,579,502 | –F1 | – | 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
Each share of the Issuer's Series A-1 convertible preferred stock will automatically convert into shares of the Issuer's common stock immediately upon the closing of the Issuer's initial public offering. The Series A-1 convertible preferred stock has no expiration date.
Referenced by the price of 1 transaction in Table I and 1 transaction in Table II.