Biotechnology Value Fund L P 的 Form 4 申報
Cti Biopharma Corp（CTIC），2022/8/11 申報
- 申報編號
- 0000921895-22-002404
- 申報時間
- 2022/8/11 17:52 ET
- 交易日
- 2022/8/9
- 申報延遲
- 2 天
- 10b5-1 計畫
- 表單沒有這欄（2023 年以前）
這份申報列了 8 筆非衍生性交易、4 筆衍生性交易。公開市場賣出合計 $5,202 萬。交易後 2 天申報。
申報人
一份 Form 4 可以有好幾位申報人，例如本人與他控制的基金。各交易表上顯示的是第一位。
| 申報人 | 與公司的關係 |
|---|---|
| Biotechnology Value Fund L PCIK 0000918923 | 董事、持股 10% 以上大股東、其他：See Explanation of Responses |
| BVF Partners L PCIK 0001055947 | 董事、持股 10% 以上大股東、其他：See Remarks |
| BVF IncCIK 0001056807 | 董事、持股 10% 以上大股東、其他：See Explanation of Responses |
| Biotechnology Value Fund II LPCIK 0001102444 | 董事、其他：See Explanation of Responses |
| Lampert Mark NCIK 0001233840 | 董事、持股 10% 以上大股東、其他：See Explanation of Responses |
| Biotechnology Value Trading Fund OS LPCIK 0001660683 | 董事、其他：See Explanation of Responses |
| BVF Partners OS Ltd.CIK 0001660684 | 董事、其他：See Explanation of Responses |
| BVF I GP LLCCIK 0001803805 | 董事、持股 10% 以上大股東、其他：See Explanation of Responses |
| BVF II GP LLCCIK 0001803806 | 董事、其他：See Explanation of Responses |
| BVF GP Holdings LLCCIK 0001803809 | 董事、持股 10% 以上大股東、其他：See Explanation of Responses |
非衍生性證券（表 I）
普通股等股票的取得與處分，每一列是申報上的一筆。
| 交易日 | 證券 | 交易 | 股數 | 價格 | 金額 | 交易後持股 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2022/8/9 | Common Stock, par value $0.001 | S賣出處分 | −3,850,803 | $6.12 | −$23,566,914.36 | 235,130 | 直接 | |
| 2022/8/9 | Common Stock, par value $0.001 | C轉換取得 | +3,754,000 | –F7,F8 | – | 3,989,130 | 直接 | |
| 2022/8/9 | Common Stock, par value $0.001 | S賣出處分 | −2,890,723 | $6.12 | −$17,691,224.76 | 168,573 | 直接 | |
| 2022/8/9 | Common Stock, par value $0.001 | C轉換取得 | +2,426,666 | –F7,F8 | – | 2,595,239 | 直接 | |
| 2022/8/9 | Common Stock, par value $0.001 | S賣出處分 | −469,040 | $6.12 | −$2,870,524.8 | 19,839 | 直接 | |
| 2022/8/9 | Common Stock, par value $0.001 | C轉換取得 | +682,666 | –F7,F8 | – | 702,505 | 直接 | |
| 2022/8/9 | Common Stock, par value $0.001 | S賣出處分 | −1,289,434 | $6.12 | −$7,891,336.08 | 6,148 | 間接 | |
| 2022/8/9 | Common Stock, par value $0.001 | C轉換取得 | +1,519,999 | –F7,F8 | – | 1,526,147 | 間接 |
衍生性證券（表 II）
選擇權、認股權證、限制型股票單位等。股數是標的股票的股數；單價與金額是衍生證券本身的價格，交易後持有是衍生證券的單位數。
附註與備註
本站收錄交易價格引用的附註、修正申報（Form 4/A）的全部附註，以及申報的備註。其他附註，例如間接持有的方式、交易計畫的細節，請看 SEC EDGAR 上的原文。
- F7
The Series O Convertible Preferred Stock, par value $0.001 per share (the "Series O Preferred Stock") has no expiration date and is convertible at any time at the option of the holder thereof. Each share of Series O Preferred Stock is convertible into the number of shares of Common Stock equal to a Conversion Ratio equal to a Stated Value of $2,000 per share divided by a Conversion Price of $3.00, or approximately 667 shares of Common Stock for each share of Series O Preferred Stock. The Series O Preferred Stock may not be converted if, after such conversion, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Securities Exchange Act of 1934, as amended, more than 19.99% of the shares of Common Stock outstanding immediately after giving effect to such conversion.
表 I 有 4 筆、表 II 有 4 筆交易的價格引用這則附註。
- F8
The exercise of the Series O Preferred Stock and the corresponding acquisition of the underlying shares of Common Stock reported herein are exempt from Section 16 pursuant to Rule 16b-3, Rule 16b-6 or otherwise.
表 I 有 4 筆、表 II 有 4 筆交易的價格引用這則附註。
備註
For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each of the Reporting Persons may be deemed to be a director by deputization of the Issuer due to a member of Partners, Mr. Perry, serving on the Board of Directors of the Issuer, and his agreement to transfer the economic benefit, if any, received upon the sale of the shares issuable upon exercise of the securities reported owned herein to Partners.