York Charles N II's Form 4 filing
Day One Biopharmaceuticals, Inc.DAWN · filed Feb 21, 2025
- Accession no.
- 0001415889-25-005159
- Filed
- Feb 21, 2025
- Trade date
- Feb 15-18, 2025
- Filing delay
- 6 daysLate
- Rule 10b5-1 plan
- Not checked
This filing lists 5 non-derivative transactions and 4 derivative transactions. Open-market sales total $52.3K. It was filed 6 days after the trade, past the 2-business-day deadline.
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, 2025 | Common Stock | MOption exerciseAcquired | +1,375 | –F1 | – | 241,508 | Direct | |
| Feb 15, 2025 | Common Stock | MOption exerciseAcquired | +2,250 | –F1 | – | 243,758 | Direct | |
| Feb 15, 2025 | Common Stock | MOption exerciseAcquired | +6,625 | –F1 | – | 250,383 | Direct | |
| Feb 15, 2025 | Common Stock | MOption exerciseAcquired | +6,625 | –F1 | – | 257,008 | Direct | |
| Feb 18, 2025 | Common Stock | SSaleDisposed | −4,370 | $11.96F3 | −$52,265.2 | 252,638 | 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, 2025 | Common Stock | MOption exerciseDisposed | −1,375 | $0.00 | $0 | 4,125 | Direct | |
| Feb 15, 2025 | Common Stock | MOption exerciseDisposed | −2,250 | $0.00 | $0 | 15,750 | Direct | |
| Feb 15, 2025 | Common Stock | MOption exerciseDisposed | −6,625 | $0.00 | $0 | 72,875 | Direct | |
| Feb 15, 2025 | 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 4 transactions in Table I.
- F3
The price reported in Column 4 is a weighted average price. These shares were sold as part of block trades for multiple security holders of the Issuer at prices ranging from $11.86 to $12.18, inclusive. The Reporting Person undertakes to provide to the Issuer, any securityholder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein with regard to the block trade.
Referenced by the price of 1 transaction in Table I.