Scott John K Jr.'s Form 4 filing
Navidea Biopharmaceuticals, Inc. (NAVB) · filed Jun 15, 2023
- Accession no.
- 0001437749-23-017587
- Filed
- Jun 15, 2023
- Trade date
- Jun 1-5, 2023
- Filing delay
- 14 daysLate
- Rule 10b5-1 plan
- Not checked
This filing lists 2 non-derivative transactions and 2 derivative transactions. It was filed 14 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.
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 |
|---|---|---|---|---|---|---|---|---|
| Jun 1, 2023 | Common Stock | PPurchaseAcquired | +11,508,672 | $100.00 | +$1,196,900 | 11,969 | Direct | |
| Jun 5, 2023 | Common Stock | CConversionDisposed | −11,508,672 | $100.00 | −$1,196,900 | 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.
- F1
Navidea entered into a Stock Exchange Agreement with the Reporting Person, pursuant to which he surrendered 990 shares of Series G Redeemable Preferred Stock, par value $.001 per share, and $68,853.22 of accrued and unpaid dividends thereon in exchange for 11,969 shares of Series J Convertible Preferred Stock, par value $.001 per share.
Referenced by the price of 1 transaction in Table I.
- F2
Series J Convertible Preferred Stock, par value $.001 per share was converted into Common Stock.
Referenced by the price of 1 transaction in Table I.