York Charles N II's Form 4 filing
Day One Biopharmaceuticals, Inc.DAWN · filed Feb 20, 2024
- Accession no.
- 0001415889-24-004469
- Filed
- Feb 20, 2024
- Trade date
- Feb 15-16, 2024
- Filing delay
- 5 days
- Rule 10b5-1 plan
- Not checked
This filing lists 4 non-derivative transactions and 3 derivative transactions. Open-market sales total $40.7K. It was filed 5 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 |
|---|---|
| York Charles N IICIK 0001655962 | Officer (COO, CFO AND SECRETARY) |
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 |
|---|---|---|---|---|---|---|---|---|
| Feb 15, 2024 | Common Stock | MOption exerciseAcquired | +1,375 | –F1 | – | 271,545 | Direct | |
| Feb 15, 2024 | Common Stock | MOption exerciseAcquired | +2,250 | –F1 | – | 273,795 | Direct | |
| Feb 15, 2024 | Common Stock | MOption exerciseAcquired | +6,625 | –F1 | – | 280,420 | Direct | |
| Feb 16, 2024 | Common Stock | SSaleDisposed | −2,666 | $15.25 | −$40,656.5 | 277,754 | 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 |
|---|---|---|---|---|---|---|---|---|
| Feb 15, 2024 | Common Stock | MOption exerciseDisposed | −1,375 | $0.00 | $0 | 9,625 | Direct | |
| Feb 15, 2024 | Common Stock | MOption exerciseDisposed | −2,250 | $0.00 | $0 | 24,750 | Direct | |
| Feb 15, 2024 | Common Stock | MOption exerciseDisposed | −6,625 | $0.00 | $0 | 99,375 | 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
Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock upon settlement for no consideration.
Referenced by the price of 3 transactions in Table I.