Yednock Ted's Form 4/A amendment
AmendedAnnexon, Inc. (ANNX) · filed Jan 23, 2024
- Accession no.
- 0001209191-24-002080
- Filed
- Jan 23, 2024
- Trade date
- Jul 11-Dec 27, 2023
- Filing delay
- 196 days
- Rule 10b5-1 plan
- Checked
- Original filed
- Dec 29, 2023
This filing lists 4 non-derivative transactions. It carries over 2 transactions from the original filing that it did not restate. Open-market sales total $99.0K. It was filed 196 days after the trade.
This amendment restates part of 0001209191-23-059988 (filed Dec 29, 2023). The transactions it did not restate still count and are listed below.
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 |
|---|---|
| Yednock TedCIK 0001818525 | Officer (EVP & Chief Innovation 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 |
|---|---|---|---|---|---|---|---|---|
| Jul 11, 2023 | Common Stock | SSaleDisposed | −1,057 | $3.84F3 | −$4,058.88 | 37,885 | Direct | |
| Dec 27, 2023 | Common Stock | MOption exerciseAcquired | +10,615 | $1.41 | +$14,967.15 | 48,500 | Direct | |
| Dec 27, 2023 | Common Stock | MOption exerciseAcquired | +10,385 | $1.85 | +$19,212.25 | 58,885 | Direct | |
| Dec 27, 2023 | Common Stock | SSaleDisposed | −21,000 | $4.52F3 | −$94,920 | 37,885 | Direct |
Carried over from the original filing
This amendment restates only part of the original filing. The original's other transactions still stand, and the trade tables on Livermore count them under this amendment.
From 0001209191-23-059988 (filed Dec 29, 2023).
Derivative securities (Table II)
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Dec 27, 2023 | Common Stock | MOption exerciseDisposed | −10,615 | $0.00 | $0 | 0 | Direct | |
| Dec 27, 2023 | Common Stock | MOption exerciseDisposed | −10,385 | $0.00 | $0 | 36,000 | 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
Late reporting of transaction being made as a result of an administrative oversight.
- F2
The shares were sold to cover tax withholding obligations in connection with the vesting of restricted stock units ("RSUs").
- F3
This transaction was executed in multiple trades in prices ranging from $3.72 to $3.90, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.
Referenced by the price of 2 transactions in Table I.
- F4
Includes 33,559 restricted stock units.
- F5
The transactions reported herein were effected pursuant to the Reporting Person's Rule 10b5-1 trading plan, adopted March 28, 2023.
- F6
Column 5 is being amended to reflect the correct amount of securities beneficially owned following reported transaction.
- F7
Reflects the correct amount of securities beneficially owned that was unintentionally omitted from the Form 4 filed December 29, 2023.
Remarks
On December 29, 2023, the reporting person filed a Form 4 that inadvertently omitted to report the reporting person's (1) shares of common stock that were sold to cover tax withholding obligations in connection with the vesting of restricted stock units and (2) then current Column 5 holdings of common stock beneficially owned, as initially reported by the reporting person on Form 3. This amendment reports the correct amount of securities beneficially owned.