Filing Details
- Accession Number:
- 0001104659-21-149245
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-12-13 19:49:30
- Reporting Period:
- 2021-12-09
- Accepted Time:
- 2021-12-13 19:49:30
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1410939 | Iveric Bio Inc. | ISEE | Pharmaceutical Preparations (2834) | 208185347 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1703623 | Francis David Carroll | C/O Iveric Bio, Inc. 5 Penn Plaza, Suite 2372 New York, NY 10001 | Svp, Cfo And Treasurer | 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 | 2021-12-09 | 10,000 | $0.00 | 94,315 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-12-10 | 3,614 | $14.53 | 90,701 | 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 | Restricted Stock Units | Disposition | 2021-12-09 | 10,000 | $0.00 | 10,000 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 20,000 | No | 4 | M | Direct |
Footnotes
- Restricted stock units converted into common stock on a one-for-one basis upon vesting of the units.
- This total includes 2,144 shares acquired by the Reporting Person on March 15, 2021, and 2,006 shares acquired by the Reporting Person on September 15, 2021, under the Registrant's 2016 Employee Stock Purchase Plan that were not previously reported.
- Represents shares automatically sold pursuant to the prespecified terms of the applicable Restricted Stock Unit Agreement to satisfy the Reporting Person's minimum statutory withholding obligations with respect to the income recognized by the Reporting Person upon the vesting of the restricted stock units on December 9, 2021.
- The sale price of the Reporting Person's shares represents the weighted average price of all shares sold by a broker in multiple transactions effected at prices ranging from $14.35 to $14.74 on December 10, 2021 on behalf of a group of employees of the Registrant to satisfy the payment of withholding tax liability of such employees. The Reporting Person undertakes to provide upon request by the staff of the Securities Exchange Commission, the Registrant or a security holder of the Registrant, information regarding the number of shares sold at each price within the range.
- On December 9, 2019, the Reporting Person was granted an award of 40,000 restricted stock units, which vests with respect to 25% of the shares subject to the award on each of the first, second, third and fourth anniversaries of the grant date, subject to continued employment with the Registrant and the other terms and conditions under the Registrant's 2013 Stock Incentive Plan.
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