Elms Steve's Form 4 filing
Elevation Oncology, Inc. · filed Jul 1, 2021
- Accession no.
- 0001209191-21-044561
- Filed
- Jul 1, 2021, 6:29 PM ET
- Trade date
- Jun 29, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions and 2 derivative transactions. Open-market purchases total $3.00M. 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 |
|---|---|
| Elms SteveCIK 0001250195 | Director, Other: Managing Member |
| Schiff Andrew NCIK 0001172252 | Other: Managing Member |
| Aisling Capital IV, LPCIK 0001652910 | 10% Owner |
| Aisling Capital Partners IV LLCCIK 0001737019 | 10% Owner |
| Aisling Capital Partners IV, LPCIK 0001737020 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jun 29, 2021 | Common Stock | CConversionAcquired | +1,893,232 | $0.00F1 | $0 | 2,189,050 | Direct | |
| Jun 29, 2021 | Common Stock | CConversionAcquired | +458,360 | $0.00F1 | $0 | 2,647,410 | Direct | |
| Jun 29, 2021 | Common Stock | PPurchaseAcquired | +187,500 | $16.00 | +$3,000,000 | 2,834,910 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jun 29, 2021 | Common Stock | CConversionDisposed | −1,893,232 | $0.00 | $0 | 0 | Direct | |
| Jun 29, 2021 | Common Stock | CConversionDisposed | −458,360 | $0.00 | $0 | 0 | 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
The Shares of the Issuer's Preferred Stock automatically converted on a 4.225582-for-one basis into the number of shares of the Issuer's Common Stock in shown in column 7 immediately upon the closing of the Issuer's initial public offering, and had no expiration date.
Referenced by the price of 2 transactions in Table I.