Form 4 for ISPC iSpecimen Inc.
Accepted 2021-11-29 00:00:00 ET · period of report 2021-06-17 · accession 0001104659-21-144593 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2021-11-29 | 2021-06-17+ | ISPC | Dir, 10% | P - Purchase | $5.73 | +2,000 | 1.31M | +0.2% | +$11.5K | |
| DMI | 2021-11-29 | 2021-11-08+ | ISPC | Dir, 10% | P - Purchase | $5.46 | +2,000 | 1.31M | +0.2% | +$10.9K | |
| DM | 2021-11-29 | 2021-07-30 | ISPC | Dir, 10% | A - Grant | — | +16.0K | 2,500 | New | — |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2021-11-15 | P | A | 500 | $5.30 | 1,313,524 | D | — | — | |
| 2 | Common | Common Stock | 2021-11-16 | P | A | 1,000 | $5.19 | 1,314,524 | I | — | — | |
| 3 | Common | Common Stock | 2021-06-17 | P | A | 100 | $6.27 | 1,310,624 | D By Wingood Capital LLC | — | — | (F4) Including 1,310,524 shares of common stock acquired by the Reporting Person on June 21, 2021, as reported in the Form 4 filed with the Securities and Exchange Commission on June 23, 2021. |
| 4 | Common | Common Stock | 2021-06-23 | P | A | 400 | $6.52 | 1,311,024 | D By Wingood Capital LLC | — | — | |
| 5 | Common | Common Stock | 2021-11-08 | P | A | 1,000 | $5.73 | 1,312,024 | I | — | — | |
| 6 | Common | Common Stock | 2021-11-10 | P | A | 500 | $5.85 | 1,312,524 | D | — | — | |
| 7 | Common | Common Stock | 2021-11-15 | P | A | 500 | $5.29 | 1,313,024 | D | — | — | |
| 8 | Derivative | Non-Qualified Stock Options | 2021-07-30 | A | A | 13,525 | — | 13,525 | D | — · — to — | 13,525 Common Stock | (F1) Each non-qualified stock option ("NSO") represents a contingent right to receive one share of common stock at settlement subject to the terms and conditions set forth in the award of such NSOs by iSpecimen Inc. (the "Company") to the Reporting Person pursuant to a Nonqualified Stock Option Award Agreement (the "NSO Agreement") under the iSpecimen Inc. 2021 Amended and Restated Stock Incentive Plan, as amended. The NSOs has a vesting term of three years with a one-year cliff (i.e. 33.33% of the NSOs vest on June 21, 2022, and the rest of the NSOs vest in equal quarterly installments on September 21, 2022 and each December 21, March 21, June 21 and September 21 until June 21, 2024), subject to the terms and conditions set forth in the NSO Agreement. (F3) The derivative securities were awarded as compensation to the Reporting Person for his service as the director of the Company. |
| 9 | Derivative | Restricted Stock Units | 2021-07-30 | A | A | 2,500 | — | 2,500 | D | — · — to — | 2,500 Common Stock | (F2) Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock at settlement subject to the terms and conditions set forth in the award of such RSUs by the Company to the Reporting Person pursuant to a Restricted Stock Unit Award Agreement (the "RSU Agreement"). The RSUs vest in four equal quarterly installments on September 21, 2021, December 21, 2021, March 21, 2022 and June 21, 2022, subject to the terms and conditions set forth in the RSU Agreement. (F3) The derivative securities were awarded as compensation to the Reporting Person for his service as the director of the Company. |