Hancock Richard B's Form 4 filing
Avid Bioservices, Inc. (CDMO) · filed Jan 13, 2023
- Accession no.
- 0001683168-23-000196
- Filed
- Jan 13, 2023
- Trade date
- Jan 12, 2023
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 5 non-derivative transactions and 2 derivative transactions. Open-market sales total $80.0K. It was filed 1 day 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 |
|---|---|
| Hancock Richard BCIK 0001723288 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jan 12, 2023 | Common Stock, $0.001 par value | SSaleDisposed | −2,379 | $16.00 | −$38,064 | 39,134 | Direct | |
| Jan 12, 2023 | Common Stock, $0.001 par value | MOption exerciseAcquired | +1,635 | $4.53 | +$7,406.55 | 40,769 | Direct | |
| Jan 12, 2023 | Common Stock, $0.001 par value | SSaleDisposed | −1,635 | $16.00 | −$26,160 | 39,134 | Direct | |
| Jan 12, 2023 | Common Stock, $0.001 par value | MOption exerciseAcquired | +986 | $4.67 | +$4,604.62 | 40,120 | Direct | |
| Jan 12, 2023 | Common Stock, $0.001 par value | SSaleDisposed | −986 | $16.00 | −$15,776 | 39,134 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jan 12, 2023 | Common Stock | MOption exerciseDisposed | −1,635 | $0.00 | $0 | 199,252 | Direct | |
| Jan 12, 2023 | Common Stock | MOption exerciseDisposed | −986 | $0.00 | $0 | 198,266 | 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.