Malier Vanessa's Form 4 filing
IO Biotech, Inc. (IOBT) · filed Nov 12, 2021
- Accession no.
- 0001140361-21-037655
- Filed
- Nov 12, 2021
- Trade date
- Nov 9, 2021
- Filing delay
- 3 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 4 non-derivative transactions and 2 derivative transactions. Open-market purchases total $4.55M. It was filed 3 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 |
|---|---|
| Malier VanessaCIK 0001891515 | Director |
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 |
|---|---|---|---|---|---|---|---|---|
| Nov 9, 2021 | Common Stock | CConversionAcquired | +796,059 | –F1 | – | 796,059 | Indirect | |
| Nov 9, 2021 | Common Stock | CConversionAcquired | +267,977 | –F1 | – | 267,977 | Indirect | |
| Nov 9, 2021 | Common Stock | PPurchaseAcquired | +162,500 | $14.00 | +$2,275,000 | 958,559 | Indirect | |
| Nov 9, 2021 | Common Stock | PPurchaseAcquired | +162,500 | $14.00 | +$2,275,000 | 430,477 | 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 9, 2021 | Common Stock | CConversionDisposed | −796,059 | $0.00 | $0 | 0 | Indirect | |
| Nov 9, 2021 | Common Stock | CConversionDisposed | −267,977 | $0.00 | $0 | 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
Upon the closing of the Issuer's initial public offering, each share of Series C Preferred Stock beneficially owned by the reporting person automatically converted, for no additional consideration, into the number of shares of Common Stock reported in Column 7 of Table II. These shares of Series C Preferred Stock had no expiration date.
Referenced by the price of 2 transactions in Table I.