Form 4 for ONT Onterris, Inc.
Accepted 2021-12-02 00:00:00 ET · period of report 2021-11-30 · accession 0001209191-21-067686 · 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 | 2021-12-02 | 2021-11-30 | ONT | Dicks Allan | CFO | S - Sale+OE | $72.44 | -32.7K | 27.4K | -54% | -$2.37M |
| D | 2021-12-02 | 2021-11-30 | ONT | Dicks Allan | CFO | M - OptEx | $8.58 | +38.0K | 65.0K | +141% | +$326.0K |
| D | 2021-12-02 | 2021-11-30 | ONT | Dicks Allan | CFO | M - OptEx | $0.00 | -38.0K | 0 | -100% | $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 | 2021-11-30 | S | D | 9,507 | $72.84 | 44,637 | D | — | — | (F5) The price reported in Column 4 is a weighted average price. These shares of common stock of the Issuer were sold in multiple transactions by the Reporting Person at prices ranging from $72.39 to $73.38, inclusive. The Reporting Person undertakes to provide upon request by the Commission staff, the Issuer, or a security holder of the Issuer full information regarding the number of shares of common stock sold at each separate price within the range. |
| 2 | Common | Common Stock | 2021-11-30 | S | D | 400 | $73.74 | 26,950 | D | — | — | (F3) The price reported in Column 4 is a weighted average price. These shares of common stock of the Issuer were sold in multiple transactions by the Reporting Person at prices ranging from $73.60 to $73.95, inclusive. The Reporting Person undertakes to provide upon request by the Commission staff, the Issuer, or a security holder of the Issuer full information regarding the number of shares of common stock sold at each separate price within the range. |
| 3 | Common | Common Stock | 2021-11-30 | M | A | 38,000 | $8.58 | 64,950 | D | — | — | |
| 4 | Common | Common Stock | 2021-11-30 | S | D | 10,806 | $71.96 | 54,144 | D | — | — | (F4) The price reported in Column 4 is a weighted average price. These shares of common stock of the Issuer were sold in multiple transactions by the Reporting Person at prices ranging from $71.38 to $72.36, inclusive. The Reporting Person undertakes to provide upon request by the Commission staff, the Issuer, or a security holder of the Issuer full information regarding the number of shares of common stock sold at each separate price within the range. |
| 5 | Common | Common Stock | 2021-11-30 | S | D | 6,131 | $71.99 | 31,869 | D | — | — | (F1) The price reported in Column 4 is a weighted average price. These shares of common stock of the Issuer were sold in multiple transactions by the Reporting Person at prices ranging from $71.43 to $72.42, inclusive. The Reporting Person undertakes to provide upon request by the Commission staff, the Issuer, or a security holder of the Issuer full information regarding the number of shares of common stock sold at each separate price within the range. |
| 6 | Common | Common Stock | 2021-11-30 | S | D | 1,377 | $73.56 | 43,260 | D | — | — | (F6) The price reported in Column 4 is a weighted average price. These shares of common stock of the Issuer were sold in multiple transactions by the Reporting Person at prices ranging from $73.39 to $73.81, inclusive. The Reporting Person undertakes to provide upon request by the Commission staff, the Issuer, or a security holder of the Issuer full information regarding the number of shares of common stock sold at each separate price within the range. |
| 7 | Common | Common Stock | 2021-11-30 | S | D | 4,519 | $72.89 | 27,350 | D | — | — | (F2) The price reported in Column 4 is a weighted average price. These shares of common stock of the Issuer were sold in multiple transactions by the Reporting Person at prices ranging from $72.43 to $73.40, inclusive. The Reporting Person undertakes to provide upon request by the Commission staff, the Issuer, or a security holder of the Issuer full information regarding the number of shares of common stock sold at each separate price within the range. |
| 8 | Derivative | Stock Option (Right to Buy) | 2021-11-30 | M | D | 38,000 | $0.00 | 0 | D | $8.58 · — to 2026-08-16 | 38,000 Common Stock | (F8) Form 4 filed by the Reporting Person on September 24, 2021 incorrectly reflected the number of options remaining following the exercise reported thereon. The correct number of options that should have been reflected thereon was 38,000 (F7) 50% of the shares subject to the option vested on August 16, 2018 and the remaining 50% vested on August 16, 2020. |