Carroll David Francis's Form 4 filing
IVERIC bio, Inc. (ISEE) · filed Apr 5, 2022
- Accession no.
- 0001410939-22-000046
- Filed
- Apr 5, 2022
- Trade date
- Apr 1-5, 2022
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 6 non-derivative transactions and 2 derivative transactions. Open-market sales total $882.8K. 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 |
|---|---|
| Carroll David FrancisCIK 0001703623 | Officer (CFO) |
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 |
|---|---|---|---|---|---|---|---|---|
| Apr 1, 2022 | Common Stock | SSaleDisposed | −2,144 | $17.00 | −$36,448 | 60,791 | Direct | |
| Apr 4, 2022 | Common Stock | MOption exerciseAcquired | +20,316 | $1.45 | +$29,458.2 | 81,107 | Direct | |
| Apr 4, 2022 | Common Stock | SSaleDisposed | −40,341 | $18.49F2 | −$745,905.09 | 40,766 | Direct | |
| Apr 4, 2022 | Common Stock | SSaleDisposed | −600 | $19.01 | −$11,406 | 40,166 | Direct | |
| Apr 5, 2022 | Common Stock | MOption exerciseAcquired | +4,684 | $1.45 | +$6,791.8 | 44,850 | Direct | |
| Apr 5, 2022 | Common Stock | SSaleDisposed | −4,684 | $19.01F3 | −$89,042.84 | 40,166 | 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 |
|---|---|---|---|---|---|---|---|---|
| Apr 4, 2022 | Common Stock | MOption exerciseDisposed | −20,316 | $0.00 | $0 | 54,684 | Direct | |
| Apr 5, 2022 | Common Stock | MOption exerciseDisposed | −4,684 | $0.00 | $0 | 50,000 | 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.
- F2
The sale price of the Reporting Person's shares represents the weighted average price of all shares sold by a broker in multiple transactions effected at prices ranging from $18.05 to $19.00 per share on April 4, 2022. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Registrant or a security holder of the Registrant, information regarding the number of shares sold at each price within the range.
Referenced by the price of 1 transaction in Table I.
- F3
The sale price of the Reporting Person's shares represents the weighted average price of all shares sold by a broker in multiple transactions effected at prices ranging from $19.00 to $19.09 per share on April 5, 2022. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Registrant or a security holder of the Registrant, information regarding the number of shares sold at each price within the range.
Referenced by the price of 1 transaction in Table I.