Grant Papanek Julie's Form 4/A amendment
AmendedDay One Biopharmaceuticals, Inc. (DAWN) · filed Jul 12, 2022
- Accession no.
- 0001209191-22-041994
- Filed
- Jul 12, 2022
- Trade date
- Jul 1-5, 2022
- Filing delay
- 11 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Jul 6, 2022
This filing lists 2 non-derivative transactions. Open-market sales total $36.0K. It was filed 11 days after the trade.
This amendment replaces 0001209191-22-041408 (filed Jul 6, 2022).
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 |
|---|---|
| Grant Papanek JulieCIK 0001673237 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jul 1, 2022 | Common Stock | SSaleDisposed | −1,000 | $20.00 | −$20,000 | 464,000 | Indirect | |
| Jul 5, 2022 | Common Stock | SSaleDisposed | −800 | $20.00 | −$16,000 | 463,200 | Indirect |
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 sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person on September 28, 2021.
- F2
Represents shares held by The Grant Family Delaware Trust Agreement of which the Reporting Person is trustee. The Reporting Person disclaims beneficial ownership of the shares except to the extent of her pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Act"), or for any other purpose.
- F3
This amendment to Form 4 is filed to include holdings by The Adam and Julie Grant Revocable Trust dtd October 13, 2017 (the "Revocable Trust"), of which the Reporting Person and her spouse are co-trustees, that were inadvertently omitted from the Form 4 filed on July 6, 2022. These shares were received by the Revocable Trust in one or more prior distributions-in-kind by Canaan XI L.P. for no consideration pursuant to the exemptions afforded by Rules 16a-9 and 16a-13 of the Act. The Reporting Person disclaims beneficial ownership of the shares except to the extent of her pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Act, or for any other purpose.
- F4
Represents shares held by Canaan XI L.P. The Reporting Person is a non-managing member of Canaan Partners XI LLC, the general partner of Canaan XI L.P. The Reporting Person does not have voting or dispositive power over any of the shares held directly by Canaan XI L.P. and disclaims beneficial ownership of the shares except to the extent of her pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Act, or for any other purpose.