Form 4 for NGNE Neurogene Inc.
Accepted 2023-08-14 00:00:00 ET · period of report 2023-08-10 · accession 0001209191-23-045611 · 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 | 2023-08-14 | 2023-08-11 | NGNE | Smith Sean Michael | Interim CFO, Prin Acct Off | S - Sale+OE | $0.62 | -1,323 | 21.6K | -6% | -$820.26 |
| D | 2023-08-14 | 2023-08-10 | NGNE | Smith Sean Michael | Interim CFO, Prin Acct Off | M - OptEx | $0.00 | +5,000 | 23.0K | +28% | $0 |
| D | 2023-08-14 | 2023-08-10 | NGNE | Smith Sean Michael | Interim CFO, Prin Acct Off | M - OptEx | $0.00 | -5,000 | 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 | 2023-08-11 | S | D | 1,323 | $0.62 | 21,637 | D | — | — | (F3) Represents the weighted average sale price. The lowest price at which shares were sold was $.6146 and the highest price at which shares were sold was $0.6399. 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 range set forth herein. (F1) Includes 2,000 shares of common stock acquired by the Reporting Person on May 15, 2023 pursuant to the Issuer's employee stock purchase plan. |
| 2 | Common | Common Stock | 2023-08-10 | M | A | 5,000 | $0.00 | 22,960 | D | — | — | (F1) Includes 2,000 shares of common stock acquired by the Reporting Person on May 15, 2023 pursuant to the Issuer's employee stock purchase plan. |
| 3 | Derivative | Restricted Stock Units | 2023-08-10 | M | D | 5,000 | $0.00 | 0 | D | $0.00 · — to — | 5,000 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 August 10, 2022 and August 10, 2023, 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. |