Richieri Richard A.'s Form 4 filing
Avid Bioservices, Inc. (CDMO) · filed Jul 12, 2024
- Accession no.
- 0001683168-24-004798
- Filed
- Jul 12, 2024
- Trade date
- Jul 10-11, 2024
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not checked
This filing lists 4 non-derivative transactions and 2 derivative transactions. Open-market sales total $11.4K. 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 10, 2024 | Common Stock, $0.001 par value | MOption exerciseAcquired | +4,047 | –F1 | – | 34,746 | Direct | |
| Jul 11, 2024 | Common Stock, $0.001 par value | SSaleDisposed | −1,456 | $7.54 | −$10,978.24 | 33,290 | Direct | |
| Jul 10, 2024 | Common Stock, $0.001 par value | MOption exerciseAcquired | +135 | –F1 | – | 7,016 | Indirect | |
| Jul 11, 2024 | Common Stock, $0.001 par value | SSaleDisposed | −59 | $7.54 | −$444.86 | 6,957 | 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 10, 2024 | Common Stock | MOption exerciseDisposed | −4,047 | $0.00 | $0 | 70,225 | Direct | |
| Jul 10, 2024 | Common Stock | MOption exerciseDisposed | −135 | $0.00 | $0 | 5,743 | 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.