Ziebell Mark R's Form 4 filing
Avid Bioservices, Inc. (CDMO) · filed Jun 30, 2023
- Accession no.
- 0001683168-23-004598
- Filed
- Jun 30, 2023
- Trade date
- Jun 28-30, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not checked
This filing lists 3 non-derivative transactions and 4 derivative transactions. Open-market sales total $47.5K. 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 |
|---|---|
| Ziebell Mark RCIK 0001552642 | Officer (V. P., General Counsel) |
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 |
|---|---|---|---|---|---|---|---|---|
| Jun 28, 2023 | Common Stock, $0.001 par value | MOption exerciseAcquired | +10,513 | –F1 | – | 50,632 | Direct | |
| Jun 29, 2023 | Common Stock, $0.001 par value | SSaleDisposed | −2,377 | $12.70F3 | −$30,187.9 | 48,255 | Direct | |
| Jun 30, 2023 | Common Stock, $0.001 par value | SSaleDisposed | −1,280 | $13.49 | −$17,267.2 | 46,975 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jun 28, 2023 | Common Stock | MOption exerciseDisposed | −3,789 | $0.00 | $0 | 51,421 | Direct | |
| Jun 28, 2023 | Common Stock | DReturned to the companyDisposed | −3,642 | $0.00 | $0 | 47,779 | Direct | |
| Jun 28, 2023 | Common Stock | MOption exerciseDisposed | −6,724 | $0.00 | $0 | 41,055 | Direct | |
| Jun 28, 2023 | Common Stock | DReturned to the companyDisposed | −6,725 | $0.00 | $0 | 34,330 | 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 performance stock unit ("PSU") represents the contingent right to receive, upon vesting, one share of the Issuer's Common Stock.
Referenced by the price of 1 transaction in Table I.
- F3
Represents a weighted average sales price per share. These shares were sold at prices ranging from $12.70 to $12.80. The Reporting Person has provided to the Issuer, and hereby undertakes to provide the SEC staff or a security holder of the Issuer, upon request, information regarding the number of shares sold at each respective price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.