Thorp Clay's Form 4/A amendment
AmendedClearside Biomedical, Inc. (CLSD) · filed Dec 19, 2022
- Accession no.
- 0001209191-22-062044
- Filed
- Dec 19, 2022
- Trade date
- Feb 10, 2021
- Filing delay
- 677 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Feb 10, 2021
This filing lists 1 non-derivative transaction. Open-market sales total $145.6K. It was filed 677 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 |
|---|---|
| Thorp ClayCIK 0001592380 | 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 |
|---|---|---|---|---|---|---|---|---|
| Feb 10, 2021 | Common Stock | SSaleDisposed | −32,873 | $4.43F3 | −$145,627.39 | 4,951,547 | 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 sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the record holders of the securities on March 16, 2020.
- F2
Consists of (i) 447 shares sold by Hatteras NC Fund, LP ("Hatteras NC"), (ii) 21,095 shares sold by Hatteras Venture Partners III, LP ("HVP III"), (iii) 1,916 shares sold by Hatteras Venture Affiliates III, LP ("HVA III") and (iv) 9,415 shares sold by Hatteras Venture Partners IV SBIC, LP ("HVP IV SBIC").
- F3
This transaction was executed in multiple trades at prices ranging from $4.40 to $4.50, inclusive. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transactions were effected.
Referenced by the price of 1 transaction in Table I.
- F4
The original Form 4 inadvertently misstated the total number of shares. This reflect the accurate number of shares beneficially owned.