Filing Details
- Accession Number:
- 0001213900-22-000067
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2022-01-03 10:39:28
- Reporting Period:
- 2021-12-30
- Accepted Time:
- 2022-01-03 10:39:28
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1513525 | Adial Pharmaceuticals Inc. | ADIL | Pharmaceutical Preparations (2834) | 800667150 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1718364 | Jr. W. James Newman | 1180 Seminole Trail, Suite 495 Charlottesville, VA 22901 | Yes | No | 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 | 2021-12-30 | 10,000 | $2.66 | 20,000 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2021-12-30 | 5,000 | $2.72 | 50,221 | No | 4 | P | Indirect | Ivy Cottage Group, LLC |
| Common Stock | Acquisiton | 2021-12-30 | 10,000 | $2.71 | 34,644 | No | 4 | P | Indirect | Roth IRA FBO James W Newman, Jr. |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct | |
| No | 4 | P | Indirect | Ivy Cottage Group, LLC |
| No | 4 | P | Indirect | Roth IRA FBO James W Newman, Jr. |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 34,475 | Indirect | Roundtop Limited Partnership, LLP |
| Common Stock | 41,160 | Indirect | Newman GST Trust FBO James W. Newman Jr. |
| Common Stock | 152,963 | Indirect | Virga Ventures, LLC |
| Common Stock | 5,000 | Indirect | Courtney Newman |
Footnotes
- The price reported in column 4 is a weighted average price. The shares were sold in multiple transaction at prices ranging from $2.628 to $2.68, inclusive. The reporting person undertakes to provide Adial Pharmaceuticals, Inc., any security holder of Adial Pharmaceuticals, Inc. 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 footnotes (1) and (6) of this Form 4.
- James W. Newman is the general partner of Roundtop Limited Partnership, LLP.
- James W. Newman is the trustee of the Newman GST Trust FBO James W. Neman Jr.
- James W. Newman is the sole member of Virga Ventures, LLC.
- James W. Newman is the general partner of Ivy Cottage Group, LLC.
- The price reported in column 4 is a weighted average price. The shares were sold in multiple transaction at prices ranging from $2.655 to $2.72, inclusive.
- James W. Newman is the beneficiary of this Roth IRA.
- Courtney Newman is the daughter of James W. Newman, Jr.
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