Form 4 for NGNE Neurogene Inc.
Accepted 2023-02-03 00:00:00 ET · period of report 2023-02-01 · accession 0001209191-23-006881 · 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 | 2023-02-03 | 2023-02-02 | NGNE | Patel Priti | Chief Medical Off | S - Sale+OE | $0.6 | -14.4K | 31.1K | -32% | -$8,628 |
| D | 2023-02-03 | 2023-02-01 | NGNE | Patel Priti | Chief Medical Off | M - OptEx | $0.00 | +35.0K | 45.5K | +335% | $0 |
| D | 2023-02-03 | 2023-02-01 | NGNE | Patel Priti | Chief Medical Off | M - OptEx | $0.00 | -35.0K | 35.0K | -50% | $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 | 2023-02-02 | S | D | 14,380 | $0.6 | 31,082 | D | — | — | (F3) Represents the weighted average sale price. The lowest price at which shares were sold was $0.576 and the highest price at which shares were sold was $0.635. The Reporting Person undertakes to provide upon request to the staff of the Securities and Exchange Commission, the Issuer or its stockholders, full information regarding the total number of shares sold at each separate price within the ranges set forth herein. (F1) Includes 2,000 shares of Common Stock acquired by the Reporting Person on May 13, 2022 and 2,000 shares of Common Stock acquired by the Reporting Person on November 15, 2022 pursuant to the Issuer's employee stock purchase plan. |
| 2 | Common | Common Stock | 2023-02-01 | M | A | 35,000 | $0.00 | 45,462 | D | — | — | (F1) Includes 2,000 shares of Common Stock acquired by the Reporting Person on May 13, 2022 and 2,000 shares of Common Stock acquired by the Reporting Person on November 15, 2022 pursuant to the Issuer's employee stock purchase plan. |
| 3 | Derivative | Restricted Stock Units | 2023-02-01 | M | D | 35,000 | $0.00 | 35,000 | D | $0.00 · — to — | 35,000 Common Stock | (F4) Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon settlement for no consideration. (F5) The RSUs will vest as to 1/2 of the total number of shares underlying the award on each of February 1, 2023 and February 1, 2024, subject to the Reporting Person's provision of service to the Issuer on each vesting date. (F6) The RSUs do not expire; these securities either vest and settle or are canceled prior to the vesting date. |