Rao Raghu's Form 4 filing
Sonnet BioTherapeutics Holdings, Inc. (SONN) · filed Oct 27, 2023
- Accession no.
- 0001493152-23-038574
- Filed
- Oct 27, 2023
- Trade date
- Oct 27, 2023
- Filing delay
- Same day
- Rule 10b5-1 plan
- Not checked
This filing lists 1 non-derivative transaction and 1 derivative transaction. It was filed on the trade date.
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 |
|---|---|
| Rao RaghuCIK 0001806689 | Director |
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 |
|---|---|---|---|---|---|---|---|---|
| Oct 27, 2023 | Common Stock | PPurchaseAcquired | +15,625 | –F1 | – | 16,813 | 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 |
|---|---|---|---|---|---|---|---|---|
| Oct 27, 2023 | Common Stock | PPurchaseAcquired | +31,250 | –F1 | – | 31,250 | 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
Reporting Person purchased 15,625 shares of common stock and 31,250 warrants to purchase 31,250 shares of common stock pursuant to an underwritten public offering by the Issuer at $1.60 per share and accompanying two warrants. The offering closed on October 27, 2023.
Referenced by the price of 1 transaction in Table I and 1 transaction in Table II.