Carroll David Francis's Form 4 filing
IVERIC bio, Inc. (ISEE) · filed Apr 25, 2023
- Accession no.
- 0001410939-23-000057
- Filed
- Apr 25, 2023
- Trade date
- Apr 21-24, 2023
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Checked
This filing lists 4 non-derivative transactions and 2 derivative transactions. Open-market sales total $1.51M. 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 (SVP, Chief Financial 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 |
|---|---|---|---|---|---|---|---|---|
| Apr 21, 2023 | Common Stock | MOption exerciseAcquired | +1,829 | $1.45 | +$2,652.05 | 70,301 | Direct | |
| Apr 21, 2023 | Common Stock | SSaleDisposed | −1,829 | $30.00F2 | −$54,870 | 68,472 | Direct | |
| Apr 24, 2023 | Common Stock | MOption exerciseAcquired | +48,171 | $1.45 | +$69,847.95 | 116,643 | Direct | |
| Apr 24, 2023 | Common Stock | SSaleDisposed | −48,171 | $30.21F3 | −$1,455,245.91 | 68,472 | 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 21, 2023 | Common Stock | MOption exerciseDisposed | −1,829 | $1.45 | −$2,652.05 | 48,171 | Direct | |
| Apr 24, 2023 | Common Stock | MOption exerciseDisposed | −48,171 | $1.45 | −$69,847.95 | 0 | 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 a price of $30.00 per share on April 21, 2023. 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 $30.00 to $30.51 per share on April 24, 2023. 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.