Filing Details
- Accession Number:
- 0001209191-21-060004
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-10-07 21:02:35
- Reporting Period:
- 2021-10-06
- Accepted Time:
- 2021-10-07 21:02:35
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1746466 | Equillium Inc. | EQ | Pharmaceutical Preparations (2834) | 821554746 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1746808 | Stephen Connelly | 2223 Avenida De La Playa Suite 105 La Jolla CA 92037 | Chief Scientific Officer | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2021-10-06 | 5,625 | $4.75 | 998,625 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-10-06 | 5,625 | $7.01 | 993,000 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-10-06 | 2,467 | $2.80 | 995,467 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-10-06 | 2,467 | $7.01 | 993,000 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2021-10-06 | 5,625 | $0.00 | 5,625 | $4.75 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2021-10-06 | 2,467 | $0.00 | 2,467 | $2.80 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2020-12-10 | 2029-12-09 | No | 4 | M | Direct |
| 0 | 2021-05-19 | 2030-05-18 | No | 4 | M | Direct |
Footnotes
- The transactions reported on this form were effected pursuant to a 10b5-1 trading plan adopted by the filer on March 31, 2021.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.05 to $7.00, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this Form 4.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.06 to $7.00, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this Form 4.
- This option, representing a right to purchase twenty-five percent of the shares subject to the grant, became exercisable on December 10, 2020, which was the first anniversary of the date on which the option was granted, the remaining portion of this option vests in 36 equal monthly installments thereafter.
- This option, representing a right to purchase twenty-five percent of the shares subject to the grant, became exercisable on May 19, 2021, which was the first anniversary of the date on which the option was granted, the remaining portion of this option vests in 36 equal monthly installments thereafter.
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