Novo Holdings A/S's Form 4 filing
Minerva Surgical Inc (UTRS) · filed Oct 27, 2021
- Accession no.
- 0001209191-21-061795
- Filed
- Oct 27, 2021, 4:31 PM ET
- Trade date
- Oct 26, 2021
- Filing delay
- 1 day
- 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 $6.96M. 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 |
|---|---|
| Novo Holdings A/SCIK 0001388325 | 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 |
|---|---|---|---|---|---|---|---|---|
| Oct 26, 2021 | COMMON STOCK | CConversionAcquired | +884,484 | –F1 | – | 884,484 | Direct | |
| Oct 26, 2021 | COMMON STOCK | CConversionAcquired | +592,648 | –F2 | – | 1,477,132 | Direct | |
| Oct 26, 2021 | COMMON STOCK | PPurchaseAcquired | +580,000 | $12.00F3 | +$6,960,000 | 2,057,132 | 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.
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 Series D Redeemable Convertible Preferred Stock converted into common stock on a 1-for-1 basis into the number of shares of common stock as shown in Column 7, which gives effect to the issuer's reverse stock split effected October 14, 2021, automatically upon the closing of the Issuer's initial public offering ("IPO") without payment of further consideration. These shares have no expiration date.
Referenced by the price of 1 transaction in Table I and 1 transaction in Table II.
- F2
The Subordinated Secured Convertible Promissory Notes converted into preferred stock, which converts into common stock on a 1-for-1 basis into the number of shares of common stock as shown in Column 7, which gives effect to the issuer's reverse stock split effected October 14, 2021, automatically upon the closing of the Issuer's IPO without payment of further consideration. The notes have a maturity date of June 30, 2023.
Referenced by the price of 1 transaction in Table I and 1 transaction in Table II.
- F3
Represents a purchase from the underwriters in the Issuer's IPO.
Referenced by the price of 1 transaction in Table I.