Form 4 for ATOS ATOSSA THERAPEUTICS, INC.
Accepted 2021-07-07 00:00:00 ET · period of report 2021-07-02 · accession 0001437749-21-016573 · 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 | 2021-07-07 | 2021-07-02 | ATOS | WEAVER GREGORY L | Dir | M - OptEx | $2.22 | +164.6K | 164.6K | New | +$365.3K |
| D | 2021-07-07 | 2021-07-02 | ATOS | WEAVER GREGORY L | Dir | S - Sale+OE | $5.58 | -107.5K | 0 | -100% | -$599.8K |
| D | 2021-07-07 | 2021-07-02 | ATOS | WEAVER GREGORY L | Dir | F - Tax | $6.40 | -57.1K | 107.5K | -35% | -$365.3K |
| DM | 2021-07-07 | 2021-07-02 | ATOS | WEAVER GREGORY L | Dir | M - OptEx | $0.00 | -164.6K | 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 | 2021-07-02 | M | A | 45,000 | $2.38 | 49,581 | D | — | — | |
| 2 | Common | Common Stock | 2021-07-02 | M | A | 4,581 | $5.64 | 4,581 | D | — | — | |
| 3 | Common | Common Stock | 2021-07-02 | M | A | 45,000 | $2.52 | 94,581 | D | — | — | |
| 4 | Common | Common Stock | 2021-07-02 | S | D | 107,497 | $5.58 | 0 | D | — | — | (F2) Reflects the weighted average sale price. The range of prices for such transaction is $5.51 to $5.65. Open market sale transactions were made on the same day at different prices through a trade order executed by a broker-dealer. The reporting person has reported on a single line all such transactions that occurred within a one dollar price range. The reporting person hereby undertakes to provide upon request by the Securities and Exchange Commission staff, the issuer or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. |
| 5 | Common | Common Stock | 2021-07-02 | M | A | 70,000 | $1.70 | 164,581 | D | — | — | |
| 6 | Common | Common Stock | 2021-07-02 | F | D | 57,084 | $6.40 | 107,497 | D | — | — | (F1) Reflects the Nasdaq closing price of the Issuer's common stock on July 01, 2021. |
| 7 | Derivative | Stock Option (right to buy) | 2021-07-02 | M | D | 45,000 | $0.00 | 0 | D | $2.52 · — to — | 45,000 Common Stock | (F5) These options were granted on May 17, 2019, vested on a quarterly basis over 12 months and expire 10 years from the grant date. |
| 8 | Derivative | Stock Option (right to buy) | 2021-07-02 | M | D | 70,000 | $0.00 | 0 | D | $1.70 · — to — | 70,000 Common Stock | (F6) These options were granted on May 15, 2020, vested on a quarterly basis over 12 months and expire 10 years from the grant date. |
| 9 | Derivative | Stock Option (right to buy) | 2021-07-02 | M | D | 45,000 | $0.00 | 0 | D | $2.38 · — to — | 45,000 Common Stock | (F4) These options were granted on June 27, 2018, vested on a quarterly basis over 12 months and expire 10 years from the grant date. |
| 10 | Derivative | Stock Option (right to buy) | 2021-07-02 | M | D | 4,581 | $0.00 | 0 | D | $5.64 · — to — | 4,581 Common Stock | (F3) These options were granted on May 24, 2017, vested on a quarterly basis over 12 months and expire 10 years from the grant date. |