Wong Hing C's Form 4/A amendment
AmendedHCW Biologics Inc. (HCWB) · filed Oct 7, 2021
- Accession no.
- 0001209191-21-059988
- Filed
- Oct 7, 2021
- Trade date
- Aug 27, 2021
- Filing delay
- 41 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Aug 30, 2021
This filing lists 1 non-derivative transaction. It carries over 2 transactions from the original filing that it did not restate. Open-market purchases total $78.6K. It was filed 41 days after the trade.
This amendment restates part of 0001209191-21-053958 (filed Aug 30, 2021). The transactions it did not restate still count and are listed below.
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 |
|---|---|---|---|---|---|---|---|---|
| Aug 27, 2021 | Common Stock | PPurchaseAcquired | +8,000 | $3.76F1 | +$30,080 | 15,270,118 | Direct |
Carried over from the original filing
This amendment restates only part of the original filing. The original's other transactions still stand, and the trade tables on Livermore count them under this amendment.
From 0001209191-21-053958 (filed Aug 30, 2021).
Non-derivative securities (Table I)
Footnotes on the original
The footnotes that the prices of these transactions refer to on the original filing.
- F1
The range of prices for the shares of Common Stock is from $3.80 to $3.89. 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.
- F3
The range of prices for the shares of Common Stock is from $3.91 to $3.96. 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.
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 $3.74 to $3.83. 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.
Remarks
The only purpose of this amendment to the Form 4 filed on August 30, 2021 by the reporting person is to include the purchase of 2,000 additional shares of Common Stock made on August 27, 2021 which was inadvertently not reported in his Form 4.