Gordon Carl L's Form 4 filing
ArriVent BioPharma, Inc.AVBP · filed Jan 31, 2024
- Accession no.
- 0001104659-24-008797
- Filed
- Jan 31, 2024
- Trade date
- Jan 30, 2024
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not checked
This filing lists 6 non-derivative transactions and 4 derivative transactions. Open-market purchases total $8.00M. 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 |
|---|---|
| Gordon Carl LCIK 0001282930 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jan 30, 2024 | Common Stock | CConversionAcquired | +821,827 | –F1 | – | 821,827 | Indirect | |
| Jan 30, 2024 | Common Stock | CConversionAcquired | +821,827 | –F1 | – | 821,827 | Indirect | |
| Jan 30, 2024 | Common Stock | CConversionAcquired | +469,615 | –F1 | – | 1,291,442 | Indirect | |
| Jan 30, 2024 | Common Stock | CConversionAcquired | +469,615 | –F1 | – | 1,291,442 | Indirect | |
| Jan 30, 2024 | Common Stock | PPurchaseAcquired | +222,222 | $18.00 | +$3,999,996 | 1,513,664 | Indirect | |
| Jan 30, 2024 | Common Stock | PPurchaseAcquired | +222,222 | $18.00 | +$3,999,996 | 1,513,664 | 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 30, 2024 | Common Stock | CConversionDisposed | −821,827 | –F1 | – | 0 | Indirect | |
| Jan 30, 2024 | Common Stock | CConversionDisposed | −821,827 | –F1 | – | 0 | Indirect | |
| Jan 30, 2024 | Common Stock | CConversionDisposed | −469,615 | –F1 | – | 0 | Indirect | |
| Jan 30, 2024 | Common Stock | CConversionDisposed | −469,615 | –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
The shares of preferred stock automatically converted into common stock immediately upon completion of the Issuer's initial public offering on a 15.21-for-1 basis.
Referenced by the price of 4 transactions in Table I and 4 transactions in Table II.