GlaxoSmithKline PLC's Form 4 filing
CVRx, Inc. (CVRX) · filed Jul 6, 2021
- Accession no.
- 0001387131-21-007179
- Filed
- Jul 6, 2021
- Trade date
- Jul 2, 2021
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 7 non-derivative transactions and 6 derivative transactions. Open-market purchases total $4.95M. 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 |
|---|---|
| GlaxoSmithKline PLCCIK 0001131399 | 10% Owner |
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 2, 2021 | Common Stock | CConversionAcquired | +1,505 | –F2 | – | 33,316 | Indirect | |
| Jul 2, 2021 | Common Stock | CConversionAcquired | +12,979 | –F2 | – | 46,295 | Indirect | |
| Jul 2, 2021 | Common Stock | CConversionAcquired | +14,917 | –F2 | – | 61,212 | Indirect | |
| Jul 2, 2021 | Common Stock | CConversionAcquired | +8,380 | –F2 | – | 69,592 | Indirect | |
| Jul 2, 2021 | Common Stock | CConversionAcquired | +27,345 | –F2 | – | 96,937 | Indirect | |
| Jul 2, 2021 | Common Stock | CConversionAcquired | +635,646 | –F3 | – | 732,583 | Indirect | |
| Jul 2, 2021 | Common Stock | PPurchaseAcquired | +275,000 | $18.00 | +$4,950,000 | 1,007,583 | Indirect |
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 |
|---|---|---|---|---|---|---|---|---|
| Jul 2, 2021 | Common Stock | CConversionDisposed | −1,505 | $0.00 | $0 | 0 | Indirect | |
| Jul 2, 2021 | Common Stock | CConversionDisposed | −12,979 | $0.00 | $0 | 0 | Indirect | |
| Jul 2, 2021 | Common Stock | CConversionDisposed | −14,917 | $0.00 | $0 | 0 | Indirect | |
| Jul 2, 2021 | Common Stock | CConversionDisposed | −8,380 | $0.00 | $0 | 0 | Indirect | |
| Jul 2, 2021 | Common Stock | CConversionDisposed | −27,345 | $0.00 | $0 | 0 | Indirect | |
| Jul 2, 2021 | Common Stock | CConversionDisposed | −635,646 | $0.00 | $0 | 0 | Indirect |
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.
- F2
The Series B-2 Preferred Stock, Series C-2 Preferred Stock, Series D-2 Preferred Stock, Series E-2 Preferred Stock and Series F-2 Preferred Stock automatically converted into common stock on a 1-for-0.025857287 basis (in each case, subject to the payment of cash in lieu of any fractional shares) without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date.
Referenced by the price of 5 transactions in Table I.
- F3
The Series G Preferred Stock automatically converted into common stock on a 1-for-0.0632143218 basis (subject to the payment of cash in lieu of any fractional shares) without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date.
Referenced by the price of 1 transaction in Table I.