lee ting-chuan's Form 4 filing
Ainos, Inc. (AIMD) · filed Apr 26, 2023
- Accession no.
- 0001654954-23-005223
- Filed
- Apr 26, 2023
- Trade date
- Nov 14, 2022-Apr 26, 2023
- Filing delay
- 163 daysLate
- Rule 10b5-1 plan
- Not checked
This filing lists 1 non-derivative transaction and 1 derivative transaction. Open-market purchases total $48.3K. It was filed 163 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 |
|---|---|
| lee ting-chuanCIK 0001859311 | 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 |
|---|---|---|---|---|---|---|---|---|
| Apr 26, 2023 | COMMON STOCK | PPurchaseAcquired | +61,157 | $0.79 | +$48,314.03 | 61,157 | 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 14, 2022 | Common Stock | AGrant or awardAcquired | +70,000 | –F1 | – | 70,000 | 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
Reference is made to the RSUs granted under the 2021 Stock Incentive Plan. Each RSU represents a right to receive one (1) share of common stock upon vesting and the expiration of any applicable restricted period or, if approved, the cash value thereof (or any combination thereof). Holders of RSUs have no rights or privileges as a stockholder. Except as otherwise agreed, if the Reporting Person's participation is terminated for any reason prior to the date that all of its RSU have vested, all vesting rights shall cease and all unvested RSU shall be forfeited for no consideration as of the date termination. Vesting dates related to the 70,000 RSUs are as follows: 10,500 shares on 5/14/23 and 11/14/23, respectively, 21,000 shares on 11/14/24 and 28,000 shares on 11/14/25.
Referenced by the price of 1 transaction in Table II.