Statement of Changes in Beneficial Ownership (4)
31 Outubro 2019 - 7:55PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Hart Daniel Ryan |
2. Issuer Name and Ticker or Trading Symbol
Avid Bioservices, Inc.
[
CDMO
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Financial Officer
|
(Last)
(First)
(Middle)
2642 MICHELLE DRIVE., SUITE 200 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
10/31/2019
|
(Street)
TUSTIN, CA 92780
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code (Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock
|
10/31/2019
|
|
J(1)
|
|
2693
|
A
|
$3.944
|
4982
|
D
|
|
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Trans. Date
|
3A. Deemed Execution Date, if any
|
4. Trans. Code (Instr. 8)
|
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
6. Date Exercisable and Expiration Date
|
7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)
|
8. Price of Derivative Security (Instr. 5)
|
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
|
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
|
11. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
(A)
|
(D)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Explanation of Responses:
|
(1)
|
Shares purchased under the issuer's Employee Stock Purchase Plan ("ESPP") for the ESPP offering period May 1, 2019 through October 31, 2019. In accordance with the ESPP, these shares were purchased at a price equal to 85% of the closing price of the issuer's common stock on May 1, 2019.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
Hart Daniel Ryan 2642 MICHELLE DRIVE., SUITE 200 TUSTIN, CA 92780
|
|
|
Chief Financial Officer
|
|
Signatures
|
/s/ Daniel R. Hart
|
|
10/31/2019
|
**Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
If the form is filed by more than one reporting person, see Instruction 4(b)(v).
|
**
|
Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
|
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
|
Avid Bioservices (NASDAQ:CDMOP)
Gráfico Histórico do Ativo
De Jun 2024 até Jul 2024
Avid Bioservices (NASDAQ:CDMOP)
Gráfico Histórico do Ativo
De Jul 2023 até Jul 2024
Avid Bioservices Reports Financial Results for Fourth Quarter and Fiscal Year Ended April 30, 2024 Terça, 2 de Julho de 2024 (2 semanas atrás) • GlobeNewswire Inc. |
Avid Bioservices to Report Financial Results for Quarter and Fiscal Year Ended April 30, 2024, After Market Close on July 2, 2024 Segunda, 1 de Julho de 2024 (2 semanas atrás) • GlobeNewswire Inc. |
Avid Bioservices Earns Committed Badge from EcoVadis for Sustainability Performance Quinta, 23 de Maio de 2024 (2 meses atrás) • GlobeNewswire Inc. |
Avid Bioservices to Participate at Upcoming Investor Conferences Terça, 7 de Maio de 2024 (2 meses atrás) • GlobeNewswire Inc. |
Avid Bioservices Reports Financial Results for Third Quarter Ended January 31, 2024 Quarta, 24 de Abril de 2024 (3 meses atrás) • GlobeNewswire Inc. |
Avid Bioservices Announces Receipt of Deficiency Notice from Nasdaq Regarding Late Form 10-Q Quarta, 20 de Março de 2024 (4 meses atrás) • GlobeNewswire Inc. |
Avid Bioservices Announces Pricing of Private Placement of Convertible Notes Quinta, 7 de Março de 2024 (4 meses atrás) • GlobeNewswire Inc. |
Avid Bioservices Announces Proposed Private Placement of Convertible Notes Quarta, 6 de Março de 2024 (4 meses atrás) • GlobeNewswire Inc. |
Avid Bioservices Announces Certain Preliminary Financial Results for Third Quarter Ended January 31, 2024 Quarta, 6 de Março de 2024 (4 meses atrás) • GlobeNewswire Inc. |
Avid Bioservices Reports Financial Results for Second Quarter Ended October 31, 2023 Quinta, 7 de Dezembro de 2023 (7 meses atrás) • GlobeNewswire Inc. |
Avid Bioservices to Report Financial Results for Second Quarter of Fiscal Year 2024 After Market Close on December 7, 2023 Quinta, 30 de Novembro de 2023 (8 meses atrás) • GlobeNewswire Inc. |
Avid Bioservices Partners With California Institute for Regenerative Medicine (CIRM) to Provide CDMO Services for Cell and Gene Therapy (CGT) Programs Quarta, 8 de Novembro de 2023 (8 meses atrás) • GlobeNewswire Inc. |
Mais Notícias de Avid Bioservices, Inc.
Parece que você não está logado. Clique no botão abaixo para se logar e ver seu histórico recente.