Greene Rick S.'s Form 4 filing
HCW Biologics Inc. (HCWB) · filed Aug 27, 2021
- Accession no.
- 0001209191-21-053633
- Filed
- Aug 27, 2021
- Trade date
- Jul 22-Aug 25, 2021
- Filing delay
- 36 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 1 non-derivative transaction and 1 derivative transaction. Open-market purchases total $14.8K. It was filed 36 days after the trade, past the 2-business-day deadline.
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 |
|---|---|
| Greene Rick S.CIK 0001866272 | Director |
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 25, 2021 | Common Stock | PPurchaseAcquired | +3,611 | $4.10F1 | +$14,805.1 | 3,611 | 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 | AGrant or awardAcquired | +20,964 | $0.00 | $0 | 20,964 | 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 range of prices for the shares of Common Stock is from $4.09 to $4.11. The reporting person undertakes that he will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities purchased at each separate price.
Referenced by the price of 1 transaction in Table I.