Boenisch Sandra's Form 4 filing
Anavex Life Sciences Corp. (AVXL) · filed Jul 1, 2021
- Accession no.
- 0001731122-21-001126
- Filed
- Jul 1, 2021
- Trade date
- Jun 29, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 4 non-derivative transactions and 3 derivative transactions. Open-market sales total $4.42M. 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 |
|---|---|
| Boenisch SandraCIK 0001655366 | Officer (PFO and Treasurer) |
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 29, 2021 | Common Stock | MOption exerciseAcquired | +25,000 | $5.68 | +$142,000 | 47,963 | Direct | |
| Jun 29, 2021 | Common Stock | MOption exerciseAcquired | +106,696 | $3.28 | +$349,962.88 | 154,659 | Direct | |
| Jun 29, 2021 | Common Stock | MOption exerciseAcquired | +35,000 | $5.92 | +$207,200 | 189,659 | Direct | |
| Jun 29, 2021 | Common Stock | SSaleDisposed | −166,696 | $26.53 | −$4,422,444.88 | 22,963 | 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 29, 2021 | Common Stock | MOption exerciseDisposed | −25,000 | $0.00 | $0 | 0 | Direct | |
| Jun 29, 2021 | Common Stock | MOption exerciseDisposed | −106,696 | $0.00 | $0 | 0 | Direct | |
| Jun 29, 2021 | Common Stock | MOption exerciseDisposed | −35,000 | $0.00 | $0 | 0 | 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.