Grande Alicia's Form 4 filing
Catalyst Pharmaceuticals, Inc. (CPRX) · filed Dec 12, 2023
- Accession no.
- 0001161697-23-000610
- Filed
- Dec 12, 2023
- Trade date
- Dec 8-11, 2023
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not checked
This filing lists 6 non-derivative transactions and 2 derivative transactions. Open-market sales total $1.40M. 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 |
|---|---|
| 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 |
|---|---|---|---|---|---|---|---|---|
| Dec 8, 2023 | Common stock, par value $0.001 per share | MOption exerciseAcquired | +40,000 | $1.13 | +$45,200 | 90,557 | Direct | |
| Dec 8, 2023 | Common Stock, par value $0.001 per share | SSaleDisposed | −20,000 | $14.25F1 | −$285,000 | 70,557 | Direct | |
| Dec 8, 2023 | Common Stock, par value $0.001 per share | SSaleDisposed | −20,000 | $14.30F1 | −$286,000 | 50,557 | Direct | |
| Dec 11, 2023 | Common Stock, par value $0.001 per share | MOption exerciseAcquired | +60,000 | $1.13 | +$67,800 | 110,557 | Direct | |
| Dec 11, 2023 | Common Stock, par value $0.001 per share | SSaleDisposed | −30,000 | $13.74F1,F2 | −$412,200 | 80,557 | Direct | |
| Dec 11, 2023 | Common Stock, par value $0.001 per share | SSaleDisposed | −30,000 | $13.79F1,F3 | −$413,700 | 50,557 | 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 |
|---|---|---|---|---|---|---|---|---|
| Dec 8, 2023 | Common Stock | MOption exerciseDisposed | −40,000 | $0.00 | $0 | 1,255,834 | Direct | |
| Dec 11, 2023 | Common Stock | MOption exerciseDisposed | −60,000 | $0.00 | $0 | 1,195,834 | 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
Ms. Grande sold the shares on the open market, for personal reasons, and to fund the exercise price and tax withholding of the exercise of the stock option, and not as a a result of any disagreement with the Company.
Referenced by the price of 4 transactions in Table I.
- F2
Represents a weighted average price for the shares sold. Shares were sold in various lots ranging from $13.74 to $13.745 per share.
Referenced by the price of 1 transaction in Table I.
- F3
Represents a weighted average price for the shares sold. Shares were sold in various lots ranging from $13.78 to $13.79 per share.
Referenced by the price of 1 transaction in Table I.