Scott John K Jr.'s Form 4 filing
Navidea Biopharmaceuticals, Inc. (NAVB) · filed May 3, 2022
- Accession no.
- 0001437749-22-010726
- Filed
- May 3, 2022
- Trade date
- Apr 10-30, 2022
- Filing delay
- 23 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 2 non-derivative transactions and 2 derivative transactions. It was filed 23 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 |
|---|---|
| Scott John K Jr.CIK 0001753763 | Director, 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 |
|---|---|---|---|---|---|---|---|---|
| Apr 30, 2022 | Common Stock | AGrant or awardAcquired | +2,500 | $0.00 | $0 | 8,093,395 | Direct | |
| Apr 10, 2022 | Series G Redeemable Preferred Stock | PPurchaseAcquired | +3,260 | –F4 | – | 3,260 | 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 10, 2022 | Common Stock | SSaleDisposed | −2,173,913 | $2.30 | −$115,000 | 0 | Direct | |
| Apr 10, 2022 | Common Stock | PPurchaseAcquired | +2,175,000 | $0.80 | +$1,392 | 1,740 | 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.
- F4
Series E Redeemable Convertible Preferred Stock, par value $.001 per share, was exchanged for Series F Redeemable Convertible Preferred Stock, par value $.001 per share, and Series G Redeemable Preferred Stock, par value $.001 per share.
Referenced by the price of 1 transaction in Table I.