Scott John K Jr.'s Form 4 filing
Navidea Biopharmaceuticals, Inc. (NAVB) · filed Sep 1, 2022
- Accession no.
- 0001437749-22-021740
- Filed
- Sep 1, 2022
- Trade date
- Aug 30-31, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 1 non-derivative transaction and 3 derivative transactions. 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 |
|---|---|
| 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 |
|---|---|---|---|---|---|---|---|---|
| Aug 31, 2022 | Common Stock | AGrant or awardAcquired | +2,500 | $0.00 | $0 | 8,103,395 | 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 |
|---|---|---|---|---|---|---|---|---|
| Aug 30, 2022 | Common Stock | SSaleDisposed | −2,175,000 | $1,379.31F4 | −$2,399,999.4 | 0 | Direct | |
| Aug 30, 2022 | Common Stock | PPurchaseAcquired | +5,332,800 | –F6 | – | 2,400 | Direct | |
| Aug 30, 2022 | Common Stock | PPurchaseAcquired | +5,332,800 | –F6 | – | 2,400 | 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 F Redeemable Convertible Preferred Stock, par value $.001 per share, was surrendered to pay the subscription price for the units purchased in the Rights Offering. The fair market value of the Series F Redeemable Convertible Preferred Stock surrendered in the Rights Offering was determined by the Issuer's board of directors based on an independent appraisal obtained by the Issuer.
Referenced by the price of 1 transaction in Table II.
- F6
The Reporting Person acquired the Series I Convertible Preferred Stock and Warrants to Purchase Common Stock pursuant to the exercise of subscription rights in connection with the Issuer's previously announced rights offering ("Rights Offering"), as disclosed in the Registration Statement on Form S-1, as amended, and Prospectus Supplement No. 1 filed by the Issuer with the Securities and Exchange Commission. Pursuant to the Rights Offering, the Reporting Person purchased units at a subscription price of $1,000 per unit, with each unit consisting of one (1) share of Series I Convertible Preferred Stock and one (1) Warrant to Purchase 2,222 shares of Common Stock.
Referenced by the price of 2 transactions in Table II.