Hart Daniel R's Form 4 filing
Avid Bioservices, Inc. (CDMO) · filed Jul 13, 2021
- Accession no.
- 0001683168-21-002950
- Filed
- Jul 13, 2021
- Trade date
- Jul 9-12, 2021
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 4 non-derivative transactions and 4 derivative transactions. Open-market sales total $138.5K. It was filed 4 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 |
|---|---|
| Hart Daniel RCIK 0001346342 | Officer (Chief Financial 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 |
|---|---|---|---|---|---|---|---|---|
| Jul 10, 2021 | Common Stock, $0.001 par value | MOption exerciseAcquired | +5,866 | –F1 | – | 26,656 | Direct | |
| Jul 10, 2021 | Common Stock, $0.001 par value | MOption exerciseAcquired | +4,856 | –F1 | – | 31,512 | Direct | |
| Jul 12, 2021 | Common Stock, $0.001 par value | SSaleDisposed | −2,959 | $25.61 | −$75,779.99 | 28,553 | Direct | |
| Jul 12, 2021 | Common Stock, $0.001 par value | SSaleDisposed | −2,450 | $25.61 | −$62,744.5 | 26,103 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jul 9, 2021 | Common Stock | AGrant or awardAcquired | +24,320 | $0.00 | $0 | 61,344 | Direct | |
| Jul 9, 2021 | Common Stock | AGrant or awardAcquired | +48,641 | $0.00 | $0 | 48,641 | Direct | |
| Jul 10, 2021 | Common Stock | MOption exerciseDisposed | −5,866 | $0.00 | $0 | 55,478 | Direct | |
| Jul 10, 2021 | Common Stock | MOption exerciseDisposed | −4,856 | $0.00 | $0 | 50,622 | 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.
- F1
Each Restricted Stock Unit ("RSU") represents the contingent right to receive, upon vesting, one share of the Issuer's Common Stock.
Referenced by the price of 2 transactions in Table I.