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BIOS Azitra Co-Invest I, LP's Form 4 filing

Azitra, Inc. (AZTR) · filed Jun 23, 2023

Accession no.
0001104659-23-074424
Filed
Jun 23, 2023, 9:37 PM ET
Trade date
Jun 21, 2023
Filing delay
2 days
Rule 10b5-1 plan
Not checked

This filing lists 21 non-derivative transactions and 12 derivative transactions. Open-market purchases total $3.00M. 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.

Reporting owners on this filing
OwnerRelationship to the company
BIOS Azitra Co-Invest I, LPCIK 000176926210% Owner
Fletcher Aaron G.L.CIK 000178949010% Owner
BIOS Fund III NT, LPCIK 000179191010% Owner
BIOS Fund III QP, LPCIK 000179191610% Owner
BIOS Fund III, LPCIK 000179191710% Owner
BIOS Advisors GP, LLCCIK 000181384410% Owner
BIOS Capital Management, LPCIK 000181384510% Owner
BIOS Equity Partners III, LPCIK 000183197610% Owner

Non-derivative securities (Table I)

Acquisitions and disposals of common stock and similar shares, one row per line on the filing.

Non-derivative transactions
Trade dateSecurityTransactionSharesPriceValueShares afterOwnershipFlags
Jun 21, 2023Convertible NotesSSaleDisposed−77,953––0Indirect
Jun 21, 2023Common StockPPurchaseAcquired+197,701––197,701Indirect
Jun 21, 2023Common StockPPurchaseAcquired+69,880$5.00+$349,400267,581Indirect
Jun 21, 2023Common StockCConversionAcquired+137,186––404,767Indirect
Jun 21, 2023Convertible NotesSSaleDisposed−509,141––0Indirect
Jun 21, 2023Common StockPPurchaseAcquired+1,291,258––1,291,258Indirect
Jun 21, 2023Common StockPPurchaseAcquired+456,412$5.00+$2,282,0601,747,670Indirect
Jun 21, 2023Common StockCConversionAcquired+896,035––2,643,705Indirect
Jun 21, 2023Convertible NotesSSaleDisposed−82,223––0Indirect
Jun 21, 2023Common StockPPurchaseAcquired+208,531––208,531Indirect
Jun 21, 2023Common StockPPurchaseAcquired+73,708$5.00+$368,540282,239Indirect
Jun 21, 2023Common StockCConversionAcquired+144,705––426,944Indirect
Jun 21, 2023Common StockCConversionAcquired+467,613––467,613Indirect
Jun 21, 2023Common StockCConversionAcquired+799,467––799,467Indirect
Jun 21, 2023Common StockCConversionAcquired+255,503––255,503Indirect
Jun 21, 2023Common StockCConversionAcquired+57,747––313,250Indirect
Jun 21, 2023Common StockCConversionAcquired+834,632––834,632Indirect
Jun 21, 2023Common StockCConversionAcquired+188,810––1,023,442Indirect
Jun 21, 2023Common StockCConversionAcquired+111,720––111,720Indirect
Jun 21, 2023Common StockCConversionAcquired+25,280––137,000Indirect
Jun 21, 2023Common StockCConversionAcquired+436,173––436,173Indirect

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.

Derivative transactions
Trade dateSecurityTransactionUnderlying sharesUnit priceValueHeld afterOwnershipFlags
Jun 21, 2023Common StockCConversionDisposed−123,718$0.00$00Indirect
Jun 21, 2023Common StockCConversionDisposed−808,058$0.00$00Indirect
Jun 21, 2023Common StockCConversionDisposed−130,498$0.00$00Indirect
Jun 21, 2023Common StockCConversionDisposed−467,613$0.00$00Indirect
Jun 21, 2023Common StockCConversionDisposed−799,467$0.00$00Indirect
Jun 21, 2023Common StockCConversionDisposed−232,908$0.00$00Indirect
Jun 21, 2023Common StockCConversionDisposed−52,078$0.00$00Indirect
Jun 21, 2023Common StockCConversionDisposed−412,389$0.00$00Indirect
Jun 21, 2023Common StockCConversionDisposed−170,272$0.00$00Indirect
Jun 21, 2023Common StockCConversionDisposed−101,842$0.00$00Indirect
Jun 21, 2023Common StockCConversionDisposed−22,798$0.00$00Indirect
Jun 21, 2023Common StockCConversionDisposed−397,600$0.00$00Indirect

Footnotes

Livermore does not store Form 4 footnotes. For price ranges, how indirect holdings are held and trading plan details, read the original on SEC EDGAR.

Read the original on SEC EDGAR (opens in a new tab)