Grande Alicia's Form 4 filing
Catalyst Pharmaceuticals, Inc. (CPRX) · filed Aug 19, 2022
- Accession no.
- 0001161697-22-000398
- Filed
- Aug 19, 2022
- Trade date
- Aug 17-18, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 6 non-derivative transactions and 3 derivative transactions. Open-market sales total $2.08M. 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, 2022 | Common stock, par value $0.001 per share | MOption exerciseAcquired | +99,316 | $2.53 | +$251,269.48 | 574,853 | Direct | |
| Aug 17, 2022 | Common stock, par value $0.001 per share | SSaleDisposed | −99,316 | $13.85F1,F3 | −$1,375,526.6 | 475,537 | Direct | |
| Aug 17, 2022 | Common stock, par value $0.001 per share | MOption exerciseAcquired | +31,425 | $2.53 | +$79,505.25 | 506,962 | Direct | |
| Aug 17, 2022 | Common stock, par value $0.001 per share | SSaleDisposed | −31,425 | $13.87F2,F3 | −$435,864.75 | 475,537 | Direct | |
| Aug 18, 2022 | Common Stock, par value $0.001 per share | MOption exerciseAcquired | +19,259 | $2.53 | +$48,725.27 | 494,796 | Direct | |
| Aug 18, 2022 | Common Stock, par value $0.001 per share | SSaleDisposed | −19,259 | $13.70F3 | −$263,848.3 | 475,537 | 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, 2022 | Common Stock | MOption exerciseDisposed | −99,316 | $0.00 | $0 | 1,408,351 | Direct | |
| Aug 17, 2022 | Common Stock | MOption exerciseDisposed | −31,425 | $0.00 | $0 | 1,376,926 | Direct | |
| Aug 18, 2022 | Common Stock | MOption exerciseDisposed | −19,259 | $0.00 | $0 | 1,357,667 | 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 $13.85 to $13.88 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 $13.87 to $13.88 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, tax withholding requirements (if applicable) and for personal reasons. Shares were not sold as a result of any disagreement with the Company and Ms. Grande remains an officer of the Company.
Referenced by the price of 3 transactions in Table I.