Goodman Corey S's Form 4 filing
Ventyx Biosciences, Inc. (VTYX) · filed Oct 25, 2021
- Accession no.
- 0001567619-21-018677
- Filed
- Oct 25, 2021, 7:40 PM ET
- Trade date
- Oct 25, 2021
- Filing delay
- Same day
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 2 non-derivative transactions and 2 derivative transactions. Open-market purchases total $5.00M. 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 |
|---|---|
| Goodman Corey SCIK 0001278411 | 10% Owner, Other: See Remarks |
| Adelman Robert JCIK 0001329161 | 10% Owner, Other: See Remarks |
| venBio Global Strategic Fund III, L.P.CIK 0001739920 | 10% Owner, Other: See Remarks |
| Venbio Global Strategic GP III, LtdCIK 0001869300 | 10% Owner, Other: See Remarks |
| Venbio Global Strategic GP III, L.P.CIK 0001869303 | 10% Owner, Other: See Remarks |
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 25, 2021 | Common Stock | CConversionAcquired | +3,684,769 | –F1 | – | 3,684,769 | Direct | |
| Oct 25, 2021 | Common Stock | PPurchaseAcquired | +312,500 | $16.00 | +$5,000,000 | 3,997,269 | Direct | Duplicate filing |
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 25, 2021 | Common Stock | CConversionDisposed | −3,289,742 | $0.00 | $0 | 0 | Direct | Duplicate filing |
| Oct 25, 2021 | Common Stock | CConversionDisposed | −395,027 | $0.00 | $0 | 0 | Direct | Duplicate filing |
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
All shares of the preferred stock, par value $0.0001 per share, of the Issuer automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock") immediately prior to the closing of the Issuer's initial public offering of its Common Stock. The preferred stock had no expiration date.
Referenced by the price of 1 transaction in Table I.
Remarks
This Form 4 is being filed in conjunction with the Form 4 filed simultaneously by Aaron Royston, a director of venBio Ltd. Each of Dr. Royston and Richard Gaster, who is affiliated with the Reporting Persons, serves on the Issuer's board of directors. Each of the reporting persons may be deemed directors of the Issuer by deputization of each of Dr. Royston and Dr. Gaster.