Crockett Thomas Andrew's Form 4 filing
KalVista Pharmaceuticals, Inc. (KALV) · filed Nov 21, 2023
- Accession no.
- 0001209191-23-056267
- Filed
- Nov 21, 2023
- Trade date
- Nov 17-20, 2023
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not checked
This filing lists 2 non-derivative transactions and 3 derivative transactions. Open-market sales total $121.9K. 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 |
|---|---|
| Crockett Thomas AndrewCIK 0001690920 | Director, Officer (CEO) |
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 17, 2023 | Common Stock | MOption exerciseAcquired | +33,583 | –F1 | – | 172,339 | Direct | |
| Nov 20, 2023 | Common Stock | SSaleDisposed | −14,807 | $8.23 | −$121,861.61 | 157,532 | 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 17, 2023 | Common Stock | MOption exerciseDisposed | −6,945 | $0.00 | $0 | 55,556 | Direct | |
| Nov 17, 2023 | Common Stock | MOption exerciseDisposed | −5,805 | $0.00 | $0 | 58,050 | Direct | |
| Nov 17, 2023 | Common Stock | MOption exerciseDisposed | −20,833 | $0.00 | $0 | 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.
- F1
Each restricted stock unit ("RSU") represents a contingent right to receive 1 share of the Issuer's Class A Common Stock upon settlement for no consideration.
Referenced by the price of 1 transaction in Table I.