Form 4 for ARCT Arcturus Therapeutics Holdings Inc.
Accepted 2023-07-18 00:00:00 ET · period of report 2023-07-14 · accession 0001193805-23-001002 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2023-07-18 | 2023-07-14 | ARCT | Kummerfeld Keith C | See Remarks | S - Sale+OE | $35.00 | -6,968 | 950 | -88% | -$243.9K |
| DM | 2023-07-18 | 2023-07-14 | ARCT | Kummerfeld Keith C | See Remarks | M - OptEx | $8.96 | +6,968 | 6,887 | New | +$62.4K |
| DM | 2023-07-18 | 2023-07-14 | ARCT | Kummerfeld Keith C | See Remarks | M - OptEx | $0.00 | -6,968 | 21.0K | -25% | $0 |
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 | 2023-07-14 | S | D | 6,968 | $35.00 | 950 | D | — | — | (F1) 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. (F2) 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. |
| 2 | Common | Common Stock | 2023-07-14 | M | A | 1,031 | $14.12 | 7,918 | D | — | — | |
| 3 | Common | Common Stock | 2023-07-14 | M | A | 4,500 | $9.04 | 5,450 | D | — | — | |
| 4 | Common | Common Stock | 2023-07-14 | M | A | 1,437 | $4.99 | 6,887 | D | — | — | |
| 5 | Derivative | Employee Stock Option (right to buy) | 2023-07-14 | M | D | 1,031 | $0.00 | 7,938 | D | $14.12 · — to 2030-02-18 | 1,031 Common Stock | (F3) 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. |
| 6 | Derivative | Employee Stock Option (right to buy) | 2023-07-14 | M | D | 1,437 | $0.00 | 7,126 | D | $4.99 · — to 2029-02-06 | 1,437 Common Stock | (F3) 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. |
| 7 | Derivative | Employee Stock Option (right to buy) | 2023-07-14 | M | D | 4,500 | $0.00 | 21,000 | D | $9.04 · — to 2028-07-04 | 4,500 Common Stock | (F3) 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. |