Du Ying's Form 4 filing
Zai Lab Ltd (ZLAB) · filed Sep 3, 2021
- Accession no.
- 0001567619-21-016760
- Filed
- Sep 3, 2021
- Trade date
- Sep 1-3, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 16 non-derivative transactions and 1 derivative transaction. Open-market sales total $11.9M. It was filed 2 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 |
|---|---|
| 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 |
|---|---|---|---|---|---|---|---|---|
| Sep 1, 2021 | Ordinary Shares | MOption exerciseAcquired | +111,111 | $0.60 | +$66,666.6 | 1,119,764 | Direct | |
| Sep 1, 2021 | Ordinary Shares | SSaleDisposed | −4,166 | $143.77F2 | −$598,945.82 | 1,115,598 | Direct | |
| Sep 1, 2021 | Ordinary Shares | SSaleDisposed | −4,691 | $144.62F3 | −$678,412.42 | 1,110,907 | Direct | |
| Sep 1, 2021 | Ordinary Shares | SSaleDisposed | −1,882 | $145.92F4 | −$274,621.44 | 1,109,025 | Direct | |
| Sep 1, 2021 | Ordinary Shares | SSaleDisposed | −6,826 | $146.96F5 | −$1,003,148.96 | 1,102,199 | Direct | |
| Sep 1, 2021 | Ordinary Shares | SSaleDisposed | −6,933 | $147.63F6 | −$1,023,518.79 | 1,095,266 | Direct | |
| Sep 1, 2021 | Ordinary Shares | SSaleDisposed | −3,769 | $148.77F7 | −$560,714.13 | 1,091,497 | Direct | |
| Sep 1, 2021 | Ordinary Shares | SSaleDisposed | −176 | $149.63F8 | −$26,334.88 | 1,091,321 | Direct | |
| Sep 2, 2021 | Ordinary Shares | SSaleDisposed | −7,251 | $144.73F9 | −$1,049,437.23 | 1,084,070 | Direct | |
| Sep 2, 2021 | Ordinary Shares | SSaleDisposed | −11,859 | $145.85F10 | −$1,729,635.15 | 1,072,211 | Direct | |
| Sep 2, 2021 | Ordinary Shares | SSaleDisposed | −8,571 | $146.35F11 | −$1,254,365.85 | 1,063,640 | Direct | |
| Sep 2, 2021 | Ordinary Shares | SSaleDisposed | −1,057 | $147.75F12 | −$156,171.75 | 1,062,583 | Direct | |
| Sep 3, 2021 | Ordinary Shares | SSaleDisposed | −6,083 | $143.94F13 | −$875,587.02 | 1,056,500 | Direct | |
| Sep 3, 2021 | Ordinary Shares | SSaleDisposed | −7,373 | $144.84F14 | −$1,067,905.32 | 1,049,127 | Direct | |
| Sep 3, 2021 | Ordinary Shares | SSaleDisposed | −9,441 | $145.70F15 | −$1,375,553.7 | 1,039,686 | Direct | |
| Sep 3, 2021 | Ordinary Shares | SSaleDisposed | −1,248 | $146.55F16 | −$182,894.4 | 1,038,438 | 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 |
|---|---|---|---|---|---|---|---|---|
| Sep 1, 2021 | Ordinary Shares | MOption exerciseDisposed | −111,111 | $0.00 | $0 | 889,165 | 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 $143.77 per share, at prices ranging from $143.07 to $144.07 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.
- F3
Reflects a weighted average sale price of $144.62 per share, at prices ranging from $144.09 to $145.01 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 $145.92 per share, at prices ranging from $145.24 to $146.24 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 $146.96 per share, at prices ranging from $146.27 to $147.27 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 $147.63 per share, at prices ranging from $147.28 to $148.15 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 $148.77 per share, at prices ranging from $148.35 to $149.22 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.
- F8
Reflects a weighted average sale price of $149.63 per share, at prices ranging from $149.58 to $149.63 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 $144.73 per share, at prices ranging from $144.15 to $145.15 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 $145.85 per share, at prices ranging from $145.17 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.
- F11
Reflects a weighted average sale price of $146.35 per share, at prices ranging from $146.18 to $147.11 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 $147.75 per share, at prices ranging from $147.27 to $148.27 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 $143.94 per share, at prices ranging from $143.32 to $144.31 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 $144.84 per share, at prices ranging from $144.37 to $145.37 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.
- F15
Reflects a weighted average sale price of $145.70 per share, at prices ranging from $145.38 to $146.36 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.
- F16
Reflects a weighted average sale price of $146.55 per share, at prices ranging from $146.39 to $146.79 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."