Sr One Capital Management, LLC's Form 4 filing
ADARx Pharmaceuticals, Inc. (ADRX) · filed Sep 29, 2026
- Accession no.
- 0001193125-26-408064
- Filed
- Sep 29, 2026, 9:45 PM ET
- Trade date
- Sep 28, 2026
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not checked
This filing lists 9 non-derivative transactions and 6 derivative transactions. Open-market purchases total $27.2M. It was filed 1 day 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 |
|---|---|
| Sr One Capital Management, LLCCIK 0001853723 | 10% Owner |
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 |
|---|---|---|---|---|---|---|---|---|
| Sep 28, 2026 | Common Stock | CConversionAcquired | +3,334,938 | –F1 | – | 3,334,938 | Indirect | Duplicate filing |
| Sep 28, 2026 | Common Stock | CConversionAcquired | +1,113,666 | –F1 | – | 4,448,604 | Indirect | Duplicate filing |
| Sep 28, 2026 | Common Stock | CConversionAcquired | +512,897 | –F1 | – | 4,961,501 | Indirect | Duplicate filing |
| Sep 28, 2026 | Common Stock | PPurchaseAcquired | +592,593 | $17.00 | +$10,074,081 | 5,554,094 | Indirect | Duplicate filing |
| Sep 28, 2026 | Common Stock | CConversionAcquired | +1,538,691 | –F1 | – | 1,538,691 | Indirect | Duplicate filing |
| Sep 28, 2026 | Common Stock | PPurchaseAcquired | +414,814 | $17.00 | +$7,051,838 | 1,953,505 | Indirect | Duplicate filing |
| Sep 28, 2026 | Common Stock | CConversionAcquired | +1,667,468 | –F1 | – | 1,667,468 | Indirect | Duplicate filing |
| Sep 28, 2026 | Common Stock | CConversionAcquired | +169,001 | –F1 | – | 1,836,469 | Indirect | Duplicate filing |
| Sep 28, 2026 | Common Stock | PPurchaseAcquired | +592,593 | $17.00 | +$10,074,081 | 592,593 | Indirect | Duplicate filing |
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 |
|---|---|---|---|---|---|---|---|---|
| Sep 28, 2026 | Common Stock | CConversionDisposed | −3,334,938 | $0.00 | $0 | 0 | Indirect | Duplicate filing |
| Sep 28, 2026 | Common Stock | CConversionDisposed | −1,113,666 | $0.00 | $0 | 0 | Indirect | Duplicate filing |
| Sep 28, 2026 | Common Stock | CConversionDisposed | −512,897 | $0.00 | $0 | 0 | Indirect | Duplicate filing |
| Sep 28, 2026 | Common Stock | CConversionDisposed | −1,538,691 | $0.00 | $0 | 0 | Indirect | Duplicate filing |
| Sep 28, 2026 | Common Stock | CConversionDisposed | −1,667,468 | $0.00 | $0 | 0 | Indirect | Duplicate filing |
| Sep 28, 2026 | Common Stock | CConversionDisposed | −169,001 | $0.00 | $0 | 0 | Indirect | Duplicate filing |
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
Each share of Series B Preferred Stock, Series B-1 Preferred Stock and Series C Preferred Stock (collectively, the "Preferred Stock") automatically converted on a 1-for-1.1717 reverse stock split basis into shares of Common Stock upon the closing of the Issuer's initial public offering on September 28, 2026, without payment of further consideration. The Preferred Stock has no expiration date.
Referenced by the price of 6 transactions in Table I.