Lloyd-Smith Malcolm's Form 4 filing
Neurocrine Biosciences Inc (NBIX) · filed Aug 16, 2022
- Accession no.
- 0001209191-22-046070
- Filed
- Aug 16, 2022
- Trade date
- Aug 12-15, 2022
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 5 non-derivative transactions and 4 derivative transactions. Open-market sales total $2.28M. 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 |
|---|---|
| Lloyd-Smith MalcolmCIK 0001557146 | Officer (Chief Regulatory 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 12, 2022 | Common Stock | MOption exerciseAcquired | +21,533 | $35.99 | +$774,972.67 | 40,421 | Direct | |
| Aug 12, 2022 | Common Stock | SSaleDisposed | −21,533 | $105.95F2 | −$2,281,421.35 | 18,888 | Direct | |
| Aug 15, 2022 | Common Stock | MOption exerciseAcquired | +3,455 | $35.99 | +$124,345.45 | 22,343 | Direct | |
| Aug 15, 2022 | Common Stock | MOption exerciseAcquired | +3,361 | $43.24 | +$145,329.64 | 25,704 | Direct | |
| Aug 15, 2022 | Common Stock | MOption exerciseAcquired | +1,227 | $81.49 | +$99,988.23 | 26,931 | 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 |
|---|---|---|---|---|---|---|---|---|
| Aug 12, 2022 | Common Stock | MOption exerciseDisposed | −21,533 | $35.99 | −$774,972.67 | 0 | Direct | |
| Aug 15, 2022 | Common Stock | MOption exerciseDisposed | −3,455 | $35.99 | −$124,345.45 | 0 | Direct | |
| Aug 15, 2022 | Common Stock | MOption exerciseDisposed | −3,361 | $43.24 | −$145,329.64 | 0 | Direct | |
| Aug 15, 2022 | Common Stock | MOption exerciseDisposed | −1,227 | $81.49 | −$99,988.23 | 0 | 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.
- F2
Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $105.28 to $106.89. The Reporting Person has provided to the issuer, and will provide to any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.
Referenced by the price of 1 transaction in Table I.