Grande Alicia's Form 4 filing
Catalyst Pharmaceuticals, Inc. (CPRX) · filed Aug 19, 2021
- Accession no.
- 0001161697-21-000393
- Filed
- Aug 19, 2021
- Trade date
- Aug 17-18, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 4 non-derivative transactions and 2 derivative transactions. Open-market sales total $640.8K. 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.
| Owner | Relationship to the company |
|---|---|
| Grande AliciaCIK 0001402652 | Officer (VP, Treasurer and CFO) |
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 17, 2021 | Common stock, par value $0.001 per share | MOption exerciseAcquired | +100,000 | $3.12 | +$312,000 | 507,441 | Direct | |
| Aug 17, 2021 | Common stock, par value $0.001 per share | SSaleDisposed | −100,000 | $5.67F1,F3 | −$567,000 | 407,441 | Direct | |
| Aug 18, 2021 | Common stock, par value $0.001 per share | MOption exerciseAcquired | +70,000 | $3.12 | +$218,400 | 477,441 | Direct | |
| Aug 18, 2021 | Common stock, par value $0.001 per share | SSaleDisposed | −13,000 | $5.68F2,F3 | −$73,840 | 464,441 | 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 17, 2021 | Common Stock | MOption exerciseDisposed | −100,000 | $0.00 | $0 | 1,391,334 | Direct | |
| Aug 18, 2021 | Common Stock | MOption exerciseDisposed | −70,000 | $0.00 | $0 | 1,321,334 | 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 in various lots from $5.62 to $5.725 per share. The listed sale price represents a weighted average price for the shares sold.
Referenced by the price of 1 transaction in Table I.
- F2
Shares were sold in various lots from $5.65 to $5.785 per share. The listed sale price represents a weighted average price for the shares sold.
Referenced by the price of 1 transaction in Table I.
- F3
Shares were sold to cover exercise price of options and tax withholding requirements.
Referenced by the price of 2 transactions in Table I.