Hart Daniel R's Form 4 filing
Avid Bioservices, Inc. (CDMO) · filed Oct 11, 2022
- Accession no.
- 0001683168-22-006843
- Filed
- Oct 11, 2022
- Trade date
- Oct 9-10, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions and 2 derivative transactions. Open-market sales total $22.6K. It was filed 2 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 |
|---|---|---|---|---|---|---|---|---|
| Oct 9, 2022 | Common Stock, $0.001 par value | MOption exerciseAcquired | +1,520 | –F1 | – | 46,181 | Direct | |
| Oct 9, 2022 | Common Stock, $0.001 par value | MOption exerciseAcquired | +2,101 | –F1 | – | 48,282 | Direct | |
| Oct 10, 2022 | Common Stock, $0.001 par value | SSaleDisposed | −1,262 | $17.90 | −$22,589.8 | 47,020 | 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, 2022 | Common Stock | MOption exerciseDisposed | −1,520 | $0.00 | $0 | 65,923 | Direct | |
| Oct 9, 2022 | Common Stock | MOption exerciseDisposed | −2,101 | $0.00 | $0 | 63,822 | 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.