Esposito Pamela's Form 4/A amendment
AmendedReplimune Group, Inc. (REPL) · filed Jul 19, 2021
- Accession no.
- 0001104659-21-093670
- Filed
- Jul 19, 2021
- Trade date
- Jan 14-19, 2021
- Filing delay
- 186 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Jan 19, 2021
This filing lists 7 non-derivative transactions and 3 derivative transactions. Open-market sales total $2.42M. It was filed 186 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 |
|---|---|
| Esposito PamelaCIK 0001744425 | Officer (Chief Business Officer) |
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 |
|---|---|---|---|---|---|---|---|---|
| Jan 14, 2021 | Common Stock | MOption exerciseAcquired | +20,000 | $1.01 | +$20,200 | 195,994 | Direct | |
| Jan 14, 2021 | Common Stock | SSaleDisposed | −20,000 | $45.02 | −$900,400 | 175,994 | Direct | |
| Jan 15, 2021 | Common Stock | MOption exerciseAcquired | +29,273 | $1.01 | +$29,565.73 | 205,267 | Direct | |
| Jan 15, 2021 | Common Stock | SSaleDisposed | −29,273 | $43.58 | −$1,275,717.34 | 175,994 | Direct | |
| Jan 19, 2021 | Common Stock | MOption exerciseAcquired | +5,727 | $1.01 | +$5,784.27 | 181,721 | Direct | |
| Jan 19, 2021 | Common Stock | SSaleDisposed | −600 | $43.24F2 | −$25,944 | 181,121 | Direct | |
| Jan 19, 2021 | Common Stock | SSaleDisposed | −5,127 | $42.38F3 | −$217,282.26 | 175,994 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jan 14, 2021 | Common Stock | MOption exerciseDisposed | −20,000 | $0.00 | $0 | 108,203 | Direct | |
| Jan 15, 2021 | Common Stock | MOption exerciseDisposed | −29,273 | $0.00 | $0 | 78,930 | Direct | |
| Jan 19, 2021 | Common Stock | MOption exerciseDisposed | −5,727 | $0.00 | $0 | 73,203 | Direct |
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
The sales reported on this Form 4 were made by the reporting person pursuant to a trading plan adopted on December 14, 2020 that is intended to comply with Rule 10b5-1(c) under the Securities Exchange Act of 1934, as amended.
- F2
The price reported reflects a weighted average price. These shares were sold in multiple transactions at prices ranging from $42.88 to $43.86. The reporting person will provide to the Issuer, any security holder of the Issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.
Referenced by the price of 1 transaction in Table I.
- F3
The price reported reflects a weighted average price. These shares were sold in multiple transactions at prices ranging from $42.00 to $42.76. The reporting person will provide to the Issuer, any security holder of the Issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.
Referenced by the price of 1 transaction in Table I.
- F4
Following the sales reported on this Form 4, the reporting person continues to beneficially own 175,994 shares of the Issuer's common stock. The reporting person also holds options to acquire an aggregate of 458,852 shares of the Issuer's common stock, 284,936 of which are exercisable as of the date hereof. The original Form 4 filed on January 19, 2021 is being amended by this Form 4 solely to correct an administrative error, which misreported the total number of options held by the reporting person and the amount exercisable as of January 19, 2021.
- F5
The reporting person was granted an option to purchase 149,203 shares of the Issuer's common stock on November 1, 2015. All of the shares underlying such stock option have vested and are exercisable as of the date hereof.