Dempsey James F.'s Form 4 filing
ViewRay, Inc. (VRAY) · filed Mar 21, 2023
- Accession no.
- 0001628280-23-008798
- Filed
- Mar 21, 2023
- Trade date
- Oct 24, 2022-Mar 7, 2023
- Filing delay
- 148 daysLate
- Rule 10b5-1 plan
- Not checked
This filing lists 8 non-derivative transactions and 3 derivative transactions. Open-market sales total $173.5K. It was filed 148 days after the trade, past the 2-business-day deadline.
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 |
|---|---|
| Dempsey James F.CIK 0001637089 | Officer (Chief Scientific Officer) |
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 24, 2022 | Common Stock | FTax withholdingDisposed | −37,681 | $4.30 | −$162,028.3 | 642,165 | Direct | |
| Mar 1, 2023 | Common Stock | AGrant or awardAcquired | +86,405 | $0.00 | $0 | 728,570 | Direct | |
| Mar 1, 2023 | Common Stock | FTax withholdingDisposed | −19,630 | $4.12 | −$80,875.6 | 708,940 | Direct | |
| Mar 1, 2023 | Common Stock | FTax withholdingDisposed | −14,872 | $4.12 | −$61,272.64 | 694,068 | Direct | |
| Mar 2, 2023 | Common Stock | FTax withholdingDisposed | −39,700 | $4.12 | −$163,564 | 654,368 | Direct | |
| Mar 3, 2023 | Common Stock | MOption exerciseAcquired | +42,000 | $0.75 | +$31,500 | 696,368 | Direct | |
| Mar 3, 2023 | Common Stock | SSaleDisposed | −42,000 | $4.13 | −$173,460 | 654,368 | Direct | |
| Mar 7, 2023 | Common Stock | MOption exerciseAcquired | +125,000 | $0.75 | +$93,750 | 779,368 | 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 |
|---|---|---|---|---|---|---|---|---|
| Mar 1, 2023 | Common Stock | AGrant or awardAcquired | +86,405 | $0.00 | $0 | 86,405 | Direct | |
| Mar 3, 2023 | Common Stock | MOption exerciseDisposed | −42,000 | $0.75 | −$31,500 | 292,305 | Direct | |
| Mar 7, 2023 | Common Stock | MOption exerciseDisposed | −125,000 | $0.75 | −$93,750 | 167,305 | 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.
No transaction price on this filing refers to a footnote.