Janssen Robert's Form 4 filing
Dynavax Technologies Corp (DVAX) · filed Nov 18, 2021
- Accession no.
- 0001209191-21-065530
- Filed
- Nov 18, 2021
- Trade date
- Nov 16-17, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 4 non-derivative transactions and 2 derivative transactions. Open-market sales total $1.53M. It was filed 2 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 |
|---|---|
| Janssen RobertCIK 0001580849 | Officer (Senior Vice President) |
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 16, 2021 | Common Stock | MOption exerciseAcquired | +35,974 | $10.47 | +$376,647.78 | 44,250 | Direct | |
| Nov 16, 2021 | Common Stock | SSaleDisposed | −35,974 | $17.16F1 | −$617,313.84 | 8,276 | Direct | |
| Nov 17, 2021 | Common Stock | MOption exerciseAcquired | +53,431 | $10.47 | +$559,422.57 | 61,707 | Direct | |
| Nov 17, 2021 | Common Stock | SSaleDisposed | −53,431 | $17.07F2 | −$912,067.17 | 8,276 | 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
This transaction was executed in multiple trades at prices ranging from $17.01 to $17.27; the price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, Dynavax, or a security holder of Dynavax.
Referenced by the price of 1 transaction in Table I.
- F2
This transaction was executed in multiple trades at prices ranging from $16.92 to $17.30; the price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, Dynavax, or a security holder of Dynavax.
Referenced by the price of 1 transaction in Table I.
- F4
Not applicable
Referenced by the price of 2 transactions in Table II.