Du Ying's Form 4 filing
Zai Lab Ltd (ZLAB) · filed Aug 3, 2021
- Accession no.
- 0001567619-21-014370
- Filed
- Aug 3, 2021
- Trade date
- Aug 2-3, 2021
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 15 non-derivative transactions and 1 derivative transaction. Open-market sales total $16.1M. It was filed 1 day 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 |
|---|---|
| Du YingCIK 0001731790 | Director, Officer (Chairwoman & CEO) |
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 2, 2021 | Ordinary Shares | MOption exerciseAcquired | +111,111 | $0.60 | +$66,666.6 | 1,116,649 | Direct | |
| Aug 2, 2021 | Ordinary Shares | SSaleDisposed | −3,115 | $139.62F2 | −$434,916.3 | 1,114,598 | Direct | |
| Aug 2, 2021 | Ordinary Shares | SSaleDisposed | −2,051 | $140.68F3 | −$288,534.68 | 1,112,573 | Direct | |
| Aug 2, 2021 | Ordinary Shares | SSaleDisposed | −2,025 | $141.73F4 | −$287,003.25 | 1,108,530 | Direct | |
| Aug 2, 2021 | Ordinary Shares | SSaleDisposed | −4,043 | $143.30F5 | −$579,361.9 | 1,098,347 | Direct | |
| Aug 2, 2021 | Ordinary Shares | SSaleDisposed | −10,183 | $144.09F6 | −$1,467,268.47 | 1,037,942 | Direct | |
| Aug 2, 2021 | Ordinary Shares | SSaleDisposed | −60,405 | $145.14F7 | −$8,767,181.7 | 1,034,870 | Direct | |
| Aug 2, 2021 | Ordinary Shares | SSaleDisposed | −3,072 | $145.83F8 | −$447,989.76 | 1,116,649 | Direct | |
| Aug 3, 2021 | Ordinary Shares | SSaleDisposed | −381 | $141.78F9 | −$54,018.18 | 1,034,489 | Direct | |
| Aug 3, 2021 | Ordinary Shares | SSaleDisposed | −963 | $143.39F10 | −$138,084.57 | 1,033,526 | Direct | |
| Aug 3, 2021 | Ordinary Shares | SSaleDisposed | −1,396 | $144.71F11 | −$202,015.16 | 1,032,130 | Direct | |
| Aug 3, 2021 | Ordinary Shares | SSaleDisposed | −5,338 | $145.75F12 | −$778,013.5 | 1,026,792 | Direct | |
| Aug 3, 2021 | Ordinary Shares | SSaleDisposed | −12,963 | $146.68F13 | −$1,901,412.84 | 1,013,829 | Direct | |
| Aug 3, 2021 | Ordinary Shares | SSaleDisposed | −5,126 | $147.64F14 | −$756,802.64 | 1,008,703 | Direct | |
| Aug 3, 2021 | Ordinary Shares | SSaleDisposed | −50 | $148.24 | −$7,412 | 1,008,653 | 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 2, 2021 | Ordinary Shares | MOption exerciseDisposed | −111,111 | $0.00 | $0 | 1,000,276 | 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
Reflects a weighted average sale price of $139.62 per share, at prices ranging from $139.19 to $140.18 per share. The Reporting Person will provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
Referenced by the price of 1 transaction in Table I.
- F3
Reflects a weighted average sale price of $140.68 per share, at prices ranging from $140.29 to $141.29 per share. The Reporting Person will provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
Referenced by the price of 1 transaction in Table I.
- F4
Reflects a weighted average sale price of $141.73 per share, at prices ranging from $141.33 to $142.30 per share. The Reporting Person will provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
Referenced by the price of 1 transaction in Table I.
- F5
Reflects a weighted average sale price of $143.30 per share, at prices ranging from $142.66 to $143.65 per share. The Reporting Person will provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
Referenced by the price of 1 transaction in Table I.
- F6
Reflects a weighted average sale price of $144.09 per share, at prices ranging from $143.69 to $144.69 per share. The Reporting Person will provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
Referenced by the price of 1 transaction in Table I.
- F7
Reflects a weighted average sale price of $145.14 per share, at prices ranging from $144.70 to $145.69 per share. The Reporting Person will provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
Referenced by the price of 1 transaction in Table I.
- F8
Reflects a weighted average sale price of $145.83 per share, at prices ranging from $145.73 to $146.03 per share. The Reporting Person will provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
Referenced by the price of 1 transaction in Table I.
- F9
Reflects a weighted average sale price of $141.78 per share, at prices ranging from $141.39 to $142.18 per share. The Reporting Person will provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
Referenced by the price of 1 transaction in Table I.
- F10
Reflects a weighted average sale price of $143.39 per share, at prices ranging from $143.06 to $143.90 per share. The Reporting Person will provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
Referenced by the price of 1 transaction in Table I.
- F11
Reflects a weighted average sale price of $144.71 per share, at prices ranging from $144.09 to $145.07 per share. The Reporting Person will provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
Referenced by the price of 1 transaction in Table I.
- F12
Reflects a weighted average sale price of $145.75 per share, at prices ranging from $145.18 to $146.17 per share. The Reporting Person will provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
Referenced by the price of 1 transaction in Table I.
- F13
Reflects a weighted average sale price of $146.68 per share, at prices ranging from $146.22 to $147.22 per share. The Reporting Person will provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
Referenced by the price of 1 transaction in Table I.
- F14
Reflects a weighted average sale price of $147.64 per share, at prices ranging from $147.23 to $148.20 per share. The Reporting Person will provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
Referenced by the price of 1 transaction in Table I.
Remarks
The Power of Attorney given by Ms. Du was previously filed with the U.S. Securities and Exchange Commission on January 4, 2021 as an exhibit to the Form 3 filed by Ms. Du.