Poll Claire's Form 4 filing
Verona Pharma plc (VRNA) · filed Feb 3, 2023
- Accession no.
- 0001104659-23-010732
- Filed
- Feb 3, 2023
- Trade date
- Jan 20-Feb 1, 2023
- Filing delay
- 14 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 4 non-derivative transactions and 3 derivative transactions. Open-market sales total $393.7K. It was filed 14 days after the trade, past the 2-business-day deadline.
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 |
|---|---|
| Poll ClaireCIK 0001836820 | Officer (General Counsel) |
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 20, 2023 | Ordinary Shares | MOption exerciseAcquired | +178,800 | $0.00 | $0 | 2,211,439 | Direct | |
| Feb 1, 2023 | Ordinary Shares | GGiftDisposed | −152,000 | $0.00 | $0 | 2,059,439 | Direct | |
| Feb 1, 2023 | Ordinary Shares | GGiftAcquired | +152,000 | $0.00 | $0 | 926,256 | Indirect | |
| Feb 1, 2023 | Ordinary Shares | SSaleDisposed | −152,000 | $2.59F5 | −$393,680 | 774,256 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jan 20, 2023 | Ordinary Shares | MOption exerciseDisposed | −86,272 | $0.00 | $0 | 0 | Direct | |
| Jan 20, 2023 | Ordinary Shares | MOption exerciseDisposed | −34,248 | $0.00 | $0 | 0 | Direct | |
| Jan 20, 2023 | Ordinary Shares | MOption exerciseDisposed | −58,280 | $0.00 | $0 | 8,328 | 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.
- F5
The price reported represents the weighted average sale price of the ADSs divided by eight (8). These shares were sold in multiple transactions at prices ranging from $2.575 to $2.6138, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
Referenced by the price of 1 transaction in Table I.