York Charles N II's Form 4 filing
Day One Biopharmaceuticals, Inc. (DAWN) · filed Nov 17, 2023
- Accession no.
- 0001209191-23-055896
- Filed
- Nov 17, 2023
- Trade date
- Nov 15-16, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not checked
This filing lists 3 non-derivative transactions and 2 derivative transactions. Open-market sales total $11.2K. 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 |
|---|---|
| York Charles N IICIK 0001655962 | Officer (COO, CFO and Secretary) |
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 15, 2023 | Common Stock | MOption exerciseAcquired | +1,375 | –F1 | – | 268,876 | Direct | |
| Nov 15, 2023 | Common Stock | MOption exerciseAcquired | +2,250 | –F1 | – | 271,126 | Direct | |
| Nov 16, 2023 | Common Stock | SSaleDisposed | −956 | $11.69 | −$11,175.64 | 270,170 | 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 15, 2023 | Common Stock | MOption exerciseDisposed | −1,375 | $0.00 | $0 | 11,000 | Direct | |
| Nov 15, 2023 | Common Stock | MOption exerciseDisposed | −2,250 | $0.00 | $0 | 27,000 | 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
Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock upon settlement for no consideration.
Referenced by the price of 2 transactions in Table I.