Filing Details
- Accession Number:
- 0001638599-20-000582
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-06-08 12:41:24
- Reporting Period:
- 2020-06-04
- Accepted Time:
- 2020-06-08 12:41:24
- SEC Url:
- Form 4 Filing
Issuer
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1213822 | L Robert Erwin | C/O Novici Biotech Llc 3333 Vaca Valley Parkway Vacaville CA 95688 | President | No | Yes | No | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2020-06-04 | 28,268 | $0.93 | 108,108 | No | 4 | M | Direct | |
Common Stock | Disposition | 2020-06-04 | 28,268 | $1.71 | 108,108 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Direct | |
No | 4 | S | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Stock Option (right to buy) | Disposition | 2020-06-04 | 28,268 | $0.00 | 28,268 | $0.93 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
108,108 | 2020-02-20 | 2024-02-20 | No | 4 | M | Direct |
Footnotes
- Reflects number of securities beneficially owned following all transactions reported on this Form 4.
- On 2/20/19, the issuer canceled, pursuant to the issuer's option exchange program, old stock options in exchange for new stock options, on the basis of three new options in exchange for four old options, for all eligible option holders who elected to participate in the option exchange, including the cancelation of option grants to the reporting person in exchange for the options exercised in the transactions reported on this Form 4.