Green Nicholas Stewart's Form 4 filing
Avid Bioservices, Inc. (CDMO) · filed Oct 12, 2021
- Accession no.
- 0001683168-21-004786
- Filed
- Oct 12, 2021
- Trade date
- Oct 9-11, 2021
- Filing delay
- 3 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 2 non-derivative transactions and 1 derivative transaction. Open-market sales total $62.3K. It was filed 3 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 |
|---|---|
| Green Nicholas StewartCIK 0001817685 | Director, Officer (President & CEO) |
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 9, 2021 | Common Stock, $0.001 par value | MOption exerciseAcquired | +5,573 | –F1 | – | 25,425 | Direct | |
| Oct 11, 2021 | Common Stock, $0.001 par value | SSaleDisposed | −2,786 | $22.37 | −$62,322.82 | 22,639 | 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 |
|---|---|---|---|---|---|---|---|---|
| Oct 9, 2021 | Common Stock | MOption exerciseDisposed | −5,573 | $0.00 | $0 | 196,102 | 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 of the RSU, one share of the Issuer's Common Stock.
Referenced by the price of 1 transaction in Table I.