Niklason Laura E's Form 4 filing
Humacyte, Inc. (HUMA) · filed Aug 27, 2021
- Accession no.
- 0001104659-21-110547
- Filed
- Aug 27, 2021
- Trade date
- Aug 26, 2021
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions and 9 derivative transactions. Open-market purchases total $15.2M. It was filed 1 day 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 |
|---|---|
| Niklason Laura ECIK 0001878075 | Director, Officer (President, CEO and Director), 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 |
|---|---|---|---|---|---|---|---|---|
| Aug 26, 2021 | Common Stock | AGrant or awardAcquired | +1,148,240 | –F1 | – | 1,148,240 | Direct | |
| Aug 26, 2021 | Common Stock | AGrant or awardAcquired | +18,930,004 | –F1 | – | 18,930,004 | Indirect | Duplicate filing |
| Aug 26, 2021 | Common Stock | PPurchaseAcquired | +1,522,500 | $10.00 | +$15,225,000 | 20,452,504 | Indirect | Duplicate filing |
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 |
|---|---|---|---|---|---|---|---|---|
| Aug 26, 2021 | Common Stock | AGrant or awardAcquired | +262,596 | –F3 | – | 262,596 | Direct | Duplicate filing |
| Aug 26, 2021 | Common Stock | AGrant or awardAcquired | +13,129 | –F3 | – | 13,129 | Direct | Duplicate filing |
| Aug 26, 2021 | Common Stock | AGrant or awardAcquired | +157,558 | –F3 | – | 157,558 | Direct | Duplicate filing |
| Aug 26, 2021 | Common Stock | AGrant or awardAcquired | +262,596 | –F3 | – | 262,596 | Direct | Duplicate filing |
| Aug 26, 2021 | Common Stock | AGrant or awardAcquired | +131,298 | –F3 | – | 131,298 | Direct | Duplicate filing |
| Aug 26, 2021 | Common Stock | AGrant or awardAcquired | +1,312,984 | –F3 | – | 1,312,984 | Direct | Duplicate filing |
| Aug 26, 2021 | Common Stock | AGrant or awardAcquired | +1,575 | –F3 | – | 1,575 | Direct | Duplicate filing |
| Aug 26, 2021 | Common Stock | AGrant or awardAcquired | +13,129 | –F3 | – | 13,129 | Indirect | Duplicate filing |
| Aug 26, 2021 | Common Stock | AGrant or awardAcquired | +17,068 | –F3 | – | 17,068 | Indirect | Duplicate filing |
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
On August 26, 2021 , Alpha Healthcare Acquisition Corp. ("AHAC") consummated a business combination (the "Business Combination") by and among AHAC, Hunter Merger Sub, Inc., a Delaware corporation ("Hunter Merger Sub") and Humacyte, Inc., a Delaware corporation ("Legacy Humacyte"), AHAC changed its name to "Humacyte, Inc." and Hunter Merger Sub merged with and into Legacy Humacyte. As part of the Business Combination, each share of Legacy Humacyte stock was exchanged for 0.2626 shares of common stock of Humacyte, Inc.
Referenced by the price of 2 transactions in Table I.
- F3
As part of the Business Combination, each Legacy Humacyte stock option was exchanged for a stock option to acquire 0.2626 shares of common stock of Humacyte, Inc.
Referenced by the price of 9 transactions in Table II.