Form 4 for PROK PROKIDNEY CORP.
Accepted 2023-10-31 00:00:00 ET · period of report 2023-10-27 · accession 0001104659-23-113076 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| MI | 2023-10-31 | 2023-10-27+ | PROK | SC PIPE Holdings LLC | 10% | S - Sale | $1.65 | -391.4K | 7.43M | -5% | -$645.9K |
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 | Class A ordinary shares | 2023-10-30 | S | D | 157,000 | $1.65 | 7,270,000 | I See footnote | — | — | (F3) The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.4500 to $1.7150. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. (F2) Represents shares held by SC PIPE Holdings LLC ("PIPE Holdings"). PIPE Holdings is controlled by Mr. Palihapitiya and SC Master Holdings, LLC ("Master Holdings") is the sole member of PIPE Holdings. Mr. Palihapitiya and Master Holdings may be deemed to beneficially own shares held directly by PIPE Holdings by virtue of their indirect or direct interests in PIPE Holdings or their control over PIPE Holdings, as the case may be. |
| 2 | Common | Class A ordinary shares | 2023-10-31 | S | D | 141,900 | $1.69 | 7,128,100 | I See footnote | — | — | (F4) The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.5700 to $1.8400. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. (F2) Represents shares held by SC PIPE Holdings LLC ("PIPE Holdings"). PIPE Holdings is controlled by Mr. Palihapitiya and SC Master Holdings, LLC ("Master Holdings") is the sole member of PIPE Holdings. Mr. Palihapitiya and Master Holdings may be deemed to beneficially own shares held directly by PIPE Holdings by virtue of their indirect or direct interests in PIPE Holdings or their control over PIPE Holdings, as the case may be. |
| 3 | Common | Class A ordinary shares | 2023-10-27 | S | D | 92,500 | $1.59 | 7,427,000 | I See footnote | — | — | (F1) The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.4600 to $1.7850. The reporting person undertakes to provide ProKidney Corp. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. (F2) Represents shares held by SC PIPE Holdings LLC ("PIPE Holdings"). PIPE Holdings is controlled by Mr. Palihapitiya and SC Master Holdings, LLC ("Master Holdings") is the sole member of PIPE Holdings. Mr. Palihapitiya and Master Holdings may be deemed to beneficially own shares held directly by PIPE Holdings by virtue of their indirect or direct interests in PIPE Holdings or their control over PIPE Holdings, as the case may be. |