Richieri Richard A.'s Form 4 filing
Avid Bioservices, Inc. (CDMO) · filed Jul 11, 2024
- Accession no.
- 0001683168-24-004764
- Filed
- Jul 11, 2024
- Trade date
- Jul 9-10, 2024
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not checked
This filing lists 4 non-derivative transactions and 9 derivative transactions. Open-market sales total $7.73K. 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 |
|---|---|
| Richieri Richard A.CIK 0001976193 | Officer (Chief Operations 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 9, 2024 | Common Stock, $0.001 par value | MOption exerciseAcquired | +2,512 | –F1 | – | 31,609 | Direct | |
| Jul 10, 2024 | Common Stock, $0.001 par value | SSaleDisposed | −910 | $7.54 | −$6,861.4 | 30,699 | Direct | |
| Jul 9, 2024 | Common Stock, $0.001 par value | MOption exerciseAcquired | +255 | –F1 | – | 6,996 | Indirect | |
| Jul 10, 2024 | Common Stock, $0.001 par value | SSaleDisposed | −115 | $7.54 | −$867.1 | 6,881 | Indirect |
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, 2024 | Common Stock | MOption exerciseAcquired | +95,833 | $0.00 | $0 | 155,323 | Direct | |
| Jul 9, 2024 | Common Stock | MOption exerciseAcquired | +47,916 | $0.00 | $0 | 76,784 | Direct | |
| Jul 9, 2024 | Common Stock | DReturned to the companyDisposed | −1,059 | $0.00 | $0 | 75,725 | Direct | |
| Jul 9, 2024 | Common Stock | DReturned to the companyDisposed | −946 | $0.00 | $0 | 74,779 | Direct | |
| Jul 9, 2024 | Common Stock | DReturned to the companyDisposed | −507 | $0.00 | $0 | 74,272 | Direct | |
| Jul 9, 2024 | Common Stock | MOption exerciseAcquired | +3,340 | $0.00 | $0 | 6,133 | Indirect | |
| Jul 9, 2024 | Common Stock | DReturned to the companyDisposed | −132 | $0.00 | $0 | 6,001 | Indirect | |
| Jul 9, 2024 | Common Stock | DReturned to the companyDisposed | −83 | $0.00 | $0 | 5,918 | Indirect | |
| Jul 9, 2024 | Common Stock | DReturned to the companyDisposed | −40 | $0.00 | $0 | 5,878 | Indirect |
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.