Wendel Bruce's Form 4 filing
GT Biopharma, Inc. (GTBP) · filed Oct 7, 2021
- Accession no.
- 0001654954-21-010887
- Filed
- Oct 7, 2021
- Trade date
- Nov 16, 2020-Feb 16, 2021
- Filing delay
- 325 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 4 non-derivative transactions and 1 derivative transaction. Open-market purchases total $26.3K. It was filed 325 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 |
|---|---|
| Wendel BruceCIK 0001364846 | Director |
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 |
|---|---|---|---|---|---|---|---|---|
| Nov 16, 2020 | Common Stock | PPurchaseAcquired | +3,268 | $3.14 | +$10,261.52 | 3,268 | Direct | |
| Dec 22, 2020 | Common Stock | PPurchaseAcquired | +1,374 | $8.87 | +$12,187.38 | 4,642 | Direct | |
| Dec 22, 2020 | Common Stock | PPurchaseAcquired | +441 | $8.73 | +$3,849.93 | 5,083 | Direct | |
| Feb 16, 2021 | Common Stock | AGrant or awardAcquired | +347,572 | $0.00 | $0 | 352,655 | 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 |
|---|---|---|---|---|---|---|---|---|
| Feb 16, 2021 | Common Stock | AGrant or awardAcquired | +50,000 | $0.00 | $0 | 50,000 | 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.