Tempus AI, Inc.'s Form 4 filing
Personalis, Inc.PSNL · filed Aug 20, 2024
- Accession no.
- 0001493152-24-033271
- Filed
- Aug 20, 2024
- Trade date
- Aug 16, 2024
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not checked
This filing lists 3 non-derivative transactions and 2 derivative transactions. Open-market purchases total $17.7M. 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 |
|---|---|
| Tempus AI, Inc.CIK 0001717115 | 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 16, 2024 | Common Stock | XIn-the-money exerciseAcquired | +4,609,400 | $1.50 | +$6,914,100 | 4,609,400 | Direct | |
| Aug 16, 2024 | Common Stock | XIn-the-money exerciseAcquired | +4,609,400 | $2.50 | +$11,523,500 | 9,218,800 | Direct | |
| Aug 16, 2024 | Common Stock | PPurchaseAcquired | +3,500,000 | $5.07 | +$17,745,000 | 12,718,800 | 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.
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
The Reporting Person acquired the warrants as partial consideration for its obligations to the Issuer under that certain Commercialization and Reference Laboratory Agreement, dated November 25, 2023, between the Issuer and the Reporting Person.
Referenced by the price of 2 transactions in Table II.