Schwab Andrew J.'s Form 4 filing
Artiva Biotherapeutics, Inc. (ARTV) · filed Jul 24, 2024
- Accession no.
- 0001415889-24-020035
- Filed
- Jul 24, 2024, 4:15 PM ET
- Trade date
- Jul 22, 2024
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not checked
This filing lists 4 non-derivative transactions and 2 derivative transactions. Open-market purchases total $10.0M. It was filed 2 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 |
|---|---|
| Schwab Andrew J.CIK 0001598549 | 10% Owner |
| Parmar KushCIK 0001664281 | 10% Owner |
| 5AM Ventures VI, L.P.CIK 0001753037 | 10% Owner |
| 5AM Partners VI, LLCCIK 0001829051 | 10% Owner |
| 5AM Opportunities II, L.P.CIK 0001844401 | 10% Owner |
| 5AM Opportunities II (GP), LLCCIK 0001873515 | 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 22, 2024 | Common Stock | CConversionAcquired | +1,058,284 | –F1 | – | 1,058,284 | Indirect | Duplicate filing |
| Jul 22, 2024 | Common Stock | JOtherAcquired | +112,966 | $10.20 | +$1,152,253.2 | 1,171,250 | Indirect | |
| Jul 22, 2024 | Common Stock | JOtherAcquired | +348,721 | $10.20 | +$3,556,954.2 | 348,721 | Indirect | |
| Jul 22, 2024 | Common Stock | PPurchaseAcquired | +833,333 | $12.00 | +$9,999,996 | 1,182,054 | 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.
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 share of Series A Preferred Stock and Series B Preferred Stock (collectively, the "Preferred Stock") converted into shares of Common Stock of the Issuer on a one-for-one basis without payment of further consideration. Upon the closing of the Issuer's initial public offering (the "IPO"), the Preferred Stock was converted into the number of shares of Common Stock of the Issuer shown in column 7 of Table II. The Preferred Stock had no expiration date.
Referenced by the price of 1 transaction in Table I and 2 transactions in Table II.