Richieri Richard A.'s Form 4 filing
Avid Bioservices, Inc. (CDMO) · filed Jan 13, 2025
- Accession no.
- 0001683168-25-000297
- Filed
- Jan 13, 2025
- Trade date
- Jan 9-10, 2025
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not checked
This filing lists 4 non-derivative transactions and 8 derivative transactions. Open-market sales total $30.7K. It was filed 4 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 |
|---|---|---|---|---|---|---|---|---|
| Jan 9, 2025 | Common Stock, $0.001 par value | MOption exerciseAcquired | +5,507 | –F1 | – | 51,818 | Direct | |
| Jan 10, 2025 | Common Stock, $0.001 par value | SSaleDisposed | −2,283 | $12.37 | −$28,240.71 | 49,535 | Direct | |
| Jan 9, 2025 | Common Stock, $0.001 par value | MOption exerciseAcquired | +464 | –F1 | – | 8,985 | Indirect | |
| Jan 10, 2025 | Common Stock, $0.001 par value | SSaleDisposed | −200 | $12.37 | −$2,474 | 8,785 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jan 9, 2025 | Common Stock | DReturned to the companyDisposed | −506 | $0.00 | $0 | 64,213 | Direct | |
| Jan 9, 2025 | Common Stock | DReturned to the companyDisposed | −946 | $0.00 | $0 | 63,267 | Direct | |
| Jan 9, 2025 | Common Stock | DReturned to the companyDisposed | −1,060 | $0.00 | $0 | 62,207 | Direct | |
| Jan 9, 2025 | Common Stock | DReturned to the companyDisposed | −2,995 | $0.00 | $0 | 59,212 | Direct | |
| Jan 9, 2025 | Common Stock | DReturned to the companyDisposed | −40 | $0.00 | $0 | 5,241 | Indirect | |
| Jan 9, 2025 | Common Stock | DReturned to the companyDisposed | −83 | $0.00 | $0 | 5,158 | Indirect | |
| Jan 9, 2025 | Common Stock | DReturned to the companyDisposed | −132 | $0.00 | $0 | 5,026 | Indirect | |
| Jan 9, 2025 | Common Stock | DReturned to the companyDisposed | −209 | $0.00 | $0 | 4,817 | 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.