Thurman Randy H's Form 4 filing
TFF Pharmaceuticals, Inc. (TFFP) · filed Sep 30, 2022
- Accession no.
- 0001213900-22-060782
- Filed
- Sep 30, 2022
- Trade date
- Sep 29, 2022
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 2 non-derivative transactions and 1 derivative transaction. Open-market sales total $172.7K. It was filed 1 day 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 |
|---|---|
| Thurman Randy HCIK 0001204059 | 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 |
|---|---|---|---|---|---|---|---|---|
| Sep 29, 2022 | Common Stock | MOption exerciseAcquired | +40,255 | $2.50 | +$100,637.5 | 40,255 | Direct | |
| Sep 29, 2022 | Common Stock | SSaleDisposed | −40,255 | $4.29F1 | −$172,693.95 | 0 | 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 |
|---|---|---|---|---|---|---|---|---|
| Sep 29, 2022 | Common Stock | MOption exerciseDisposed | −40,255 | $0.00 | $0 | 84,670 | 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 reported shares were sold in the open market in multiple transactions at prices ranging from $4.18 to $4.57. The price reported in Column 4 is a weighted average price. The reporting person undertakes to provide to TFF Pharmaceuticals, Inc., any stockholder of TFF Pharmaceuticals, Inc or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote (1).
Referenced by the price of 1 transaction in Table I.