Wong Hing C's Form 4 filing
HCW Biologics Inc. (HCWB) · filed Jul 23, 2021
- Accession no.
- 0001209191-21-048063
- Filed
- Jul 23, 2021
- Trade date
- Jul 22, 2021
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 4 non-derivative transactions and 3 derivative transactions. Open-market purchases total $5.02M. 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 |
|---|---|
| Wong Hing CCIK 0001866258 | Director, Officer (Chief Executive Officer) |
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 |
|---|---|---|---|---|---|---|---|---|
| Jul 22, 2021 | Common Stock | CConversionAcquired | +6,316,691 | $0.00 | $0 | 10,602,405 | Direct | |
| Jul 22, 2021 | Common Stock | CConversionAcquired | +2,954,285 | $0.00 | $0 | 13,556,690 | Direct | |
| Jul 22, 2021 | Common Stock | CConversionAcquired | +1,071,428 | $0.00 | $0 | 14,628,118 | Direct | |
| Jul 22, 2021 | Common Stock | PPurchaseAcquired | +627,500 | $8.00 | +$5,020,000 | 15,255,618 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jul 22, 2021 | Common Stock | CConversionDisposed | −6,316,691 | $0.00 | $0 | 0 | Direct | |
| Jul 22, 2021 | Common Stock | CConversionDisposed | −2,954,285 | $0.00 | $0 | 0 | Direct | |
| Jul 22, 2021 | Common Stock | CConversionDisposed | −1,071,428 | $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.
No transaction price on this filing refers to a footnote.