Miller Steve's Form 4 filing
Catalyst Pharmaceuticals, Inc. (CPRX) · filed Aug 17, 2021
- Accession no.
- 0001161697-21-000385
- Filed
- Aug 17, 2021
- Trade date
- Aug 13, 2021
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 2 non-derivative transactions and 1 derivative transaction. Open-market sales total $249.5K. It was filed 4 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 |
|---|---|
| Miller SteveCIK 0001402535 | Officer (Chief Operating Officer) |
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 13, 2021 | Common stock, par value $0.001 per share | MOption exerciseAcquired | +65,000 | $3.12 | +$202,800 | 742,687 | Direct | |
| Aug 13, 2021 | Common stock, par value $0.001 per share | SSaleDisposed | −40,963 | $6.09F1 | −$249,464.67 | 701,724 | Direct |
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 13, 2021 | Common Stock | AGrant or awardDisposed | −65,000 | $0.00 | $0 | 1,525,000 | 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.
- F1
Shares were sold to cover exercise price of options and tax withholding requirements.
Referenced by the price of 1 transaction in Table I.