Emalfarb Mark A's Form 4 filing
Dyadic International Inc (DYAI) · filed Dec 23, 2021
- Accession no.
- 0001437749-21-029224
- Filed
- Dec 23, 2021
- Trade date
- Dec 21-23, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 4 non-derivative transactions and 1 derivative transaction. Open-market sales total $379.5K. 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 |
|---|---|
| Emalfarb Mark ACIK 0001328287 | Director, Officer (President and CEO), 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 |
|---|---|---|---|---|---|---|---|---|
| Dec 21, 2021 | Common Stock | SSaleDisposed | −26,486 | $4.33F2 | −$114,684.38 | 4,308,431 | Indirect | |
| Dec 22, 2021 | Common Stock | SSaleDisposed | −35,649 | $4.12F2 | −$146,873.88 | 4,272,782 | Indirect | |
| Dec 23, 2021 | Common Stock | SSaleDisposed | −28,767 | $4.10F2 | −$117,944.7 | 4,244,015 | Indirect | |
| Dec 23, 2021 | Common Stock | MOption exerciseAcquired | +150,000 | $1.63 | +$244,500 | 4,394,015 | 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.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Dec 23, 2021 | Common Stock | MOption exerciseDisposed | −150,000 | $0.00 | $0 | 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 price reported in Column 4 is a weighted average price. These sold in multiple transactions at prices ranging from $4.46 to $4.28, inclusive, on December 21, 2021, $4.70 to $4.00, inclusive, on December 22, 2021, and $4.15 to $4.05, inclusive, on December 23, 2021. The reporting person undertakes to provide to Dyadic International, Inc., any security holder of Dyadic International, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding number of shares sold at each individual price within the price ranges set forth in this footnote(2) to this Form 4.
Referenced by the price of 3 transactions in Table I.