Doerfler Douglas's Form 4 filing
Maxcyte, Inc. (MXCT) · filed Nov 16, 2021
- Accession no.
- 0001209191-21-064875
- Filed
- Nov 16, 2021, 7:08 PM ET
- Trade date
- Nov 12-16, 2021
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 6 non-derivative transactions and 3 derivative transactions. Open-market sales total $3.69M. It was filed 4 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 |
|---|---|
| Doerfler DouglasCIK 0001874482 | Director, Officer (President and CEO) |
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 |
|---|---|---|---|---|---|---|---|---|
| Nov 12, 2021 | Common Stock | MOption exerciseAcquired | +1,847 | $0.04 | +$73.88 | 435,044 | Direct | |
| Nov 12, 2021 | Common Stock | SSaleDisposed | −101,847 | $12.66F1 | −$1,289,383.02 | 333,197 | Direct | |
| Nov 15, 2021 | Common Stock | MOption exerciseAcquired | +123,263 | $0.04 | +$4,930.52 | 456,460 | Direct | |
| Nov 15, 2021 | Common Stock | SSaleDisposed | −123,263 | $12.16F2 | −$1,498,878.08 | 333,197 | Direct | |
| Nov 16, 2021 | Common Stock | MOption exerciseAcquired | +74,890 | $0.04 | +$2,995.6 | 408,087 | Direct | |
| Nov 16, 2021 | Common Stock | SSaleDisposed | −74,890 | $12.08F3 | −$904,671.2 | 333,197 | 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 12, 2021 | Common Stock | MOption exerciseDisposed | −1,847 | $0.00 | $0 | 643,233 | Direct | |
| Nov 15, 2021 | Common Stock | MOption exerciseDisposed | −123,263 | $0.00 | $0 | 519,970 | Direct | |
| Nov 16, 2021 | Common Stock | MOption exerciseDisposed | −74,890 | $0.00 | $0 | 445,080 | 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 price reported is a weighted average price. The shares were sold in multiple transactions at prices ranging from $12.56 to $12.765, inclusive. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4.
Referenced by the price of 1 transaction in Table I.
- F2
The price reported is a weighted average price. The shares were sold in multiple transactions at prices ranging from $12.03 to $12.615, inclusive. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4.
Referenced by the price of 1 transaction in Table I.
- F3
The price reported is a weighted average price. The shares were sold in multiple transactions at prices ranging from $12.00 to $12.20, inclusive. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4.
Referenced by the price of 1 transaction in Table I.