Yen Kristen's Form 4 filing
Soleno Therapeutics IncSLNO · filed Dec 14, 2023
- Accession no.
- 0001209191-23-058705
- Filed
- Dec 14, 2023
- Trade date
- Dec 12-13, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not checked
This filing lists 5 non-derivative transactions and 2 derivative transactions. Open-market sales total $1.41M. 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 |
|---|---|
| Yen KristenCIK 0001643441 | Officer (See Remarks) |
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 |
|---|---|---|---|---|---|---|---|---|
| Dec 12, 2023 | Common Stock | SSaleDisposed | −3,629 | $36.64F1 | −$132,966.56 | 18,321 | Direct | |
| Dec 12, 2023 | Common Stock | SSaleDisposed | −16,284 | $37.02F3 | −$602,833.68 | 2,037 | Direct | |
| Dec 13, 2023 | Common Stock | MOption exerciseAcquired | +13,333 | $2.60 | +$34,665.8 | 15,370 | Direct | |
| Dec 13, 2023 | Common Stock | MOption exerciseAcquired | +4,583 | $2.41 | +$11,045.03 | 19,953 | Direct | |
| Dec 13, 2023 | Common Stock | SSaleDisposed | −17,916 | $37.76F4 | −$676,508.16 | 2,037 | 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 |
|---|---|---|---|---|---|---|---|---|
| Dec 13, 2023 | Common Stock | MOption exerciseDisposed | −13,333 | $0.00 | $0 | 0 | Direct | |
| Dec 13, 2023 | Common Stock | MOption exerciseDisposed | −4,583 | $0.00 | $0 | 15,417 | 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
This transaction was executed in multiple trades at prices ranging from $35.865 to $36.845. The price reported above reflects the weighted average sale price. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate sale price.
Referenced by the price of 1 transaction in Table I.
- F3
This transaction was executed in multiple trades at prices ranging from $36.86 to $37.25. The price reported above reflects the weighted average sale price. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate sale price.
Referenced by the price of 1 transaction in Table I.
- F4
This transaction was executed in multiple trades at prices ranging from $37.69 to $38.05. The price reported above reflects the weighted average sale price. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate sale price.
Referenced by the price of 1 transaction in Table I.