Filing Details
- Accession Number:
- 0001193805-23-001002
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-07-18 18:50:25
- Reporting Period:
- 2023-07-14
- Accepted Time:
- 2023-07-18 18:50:25
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1768224 | Arcturus Therapeutics Holdings Inc. | ARCT | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1762749 | C Keith Kummerfeld | C/O Arcturus Therapeutics Holdings Inc. 10628 Science Center Drive, Suite 250 San Diego CA 92121 | See Remarks | 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 | 2023-07-14 | 4,500 | $9.04 | 5,450 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2023-07-14 | 1,437 | $4.99 | 6,887 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2023-07-14 | 1,031 | $14.12 | 7,918 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2023-07-14 | 6,968 | $35.00 | 950 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| 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 | Employee Stock Option (right to buy) | Disposition | 2023-07-14 | 4,500 | $0.00 | 4,500 | $9.04 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2023-07-14 | 1,437 | $0.00 | 1,437 | $4.99 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2023-07-14 | 1,031 | $0.00 | 1,031 | $14.12 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 21,000 | 2028-07-04 | No | 4 | M | Direct | |
| 7,126 | 2029-02-06 | No | 4 | M | Direct | |
| 7,938 | 2030-02-18 | No | 4 | M | Direct |
Footnotes
- Represents shares sold pursuant to the Reporting Person's written trading plan pursuant to Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
- These shares were sold in multiple transactions, each at a price of $35.00 per share. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold by it on July 14, 2023.
- 25% of the shares underlying the options vest on the one year anniversary of the date of grant, with the remainder vesting in 36 successive equal monthly increments thereafter.
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