Sullivan Mark's Form 4 filing
Carisma Therapeutics Inc. (CARM) · filed Mar 6, 2023
- Accession no.
- 0001485003-23-000111
- Filed
- Mar 6, 2023
- Trade date
- Mar 2, 2023
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 5 non-derivative transactions. Open-market sales total $129.3K. It was filed 4 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 |
|---|---|
| Sullivan MarkCIK 0001331843 | Officer (General Counsel & 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 |
|---|---|---|---|---|---|---|---|---|
| Mar 2, 2023 | Common Stock | SSaleDisposed | −100,978 | $0.59F2 | −$59,577.02 | 198,716 | Direct | |
| Mar 2, 2023 | Common Stock | MOption exerciseAcquired | +185,000 | $0.59 | +$109,150 | 383,716 | Direct | |
| Mar 2, 2023 | Common Stock | SSaleDisposed | −73,361 | $0.59F2 | −$43,282.99 | 310,355 | Direct | |
| Mar 2, 2023 | Common Stock | MOption exerciseAcquired | +113,175 | $0.59 | +$66,773.25 | 423,530 | Direct | |
| Mar 2, 2023 | Common Stock | SSaleDisposed | −44,879 | $0.59F2 | −$26,478.61 | 378,651 | 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 Reporting Person hereby undertakes to provide, upon request, to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, full information regarding the number of shares sold at the prices set forth above.
Referenced by the price of 3 transactions in Table I.