organization · Reporting owner
Newtyn Management, LLC
Disclosed activity across 5 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Flexion Therapeutics IncFLXN · Entity 16545 | 10% owner | November 19, 2021 | November 23, 2021 |
| MERRIMACK PHARMACEUTICALS INCMACK · Entity 95770 | See Remarks | January 12, 2023 | January 17, 2023 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Flexion Therapeutics Inc
Report date November 19, 2021 · Filed November 23, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.001 per shareSEC Table I · non-derivative | IndirectSee footnote | 0 |
Reported balance
After 2021-11-19 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2021-11-19 · Other · Disposed 5,900,000 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger, dated as of October 11, 2021, by and among Flexion Therapeutics, Inc. ("Issuer"), Pacira BioSciences, Inc. and Oyster Acquisition Company Inc. ("Purchaser") ("Merger Agreement"), on November 19, 2021, Purchaser merged with and into Issuer, with Issuer continuing as the surviving corporation ("Merger"). At the effective time of the Merger, each share of Issuer's common stock was cancelled in exchange for (i) $8.50 per share in cash ("Cash Amount"), plus (ii) one non-transferable contractual contingent value right per share, which represent the right to receive one or more contingent payments of up to $8.00 per share in the aggregate, in cash, upon the achievement of specified milestones on or prior to December 31, 2030 ("CVR Payments"). Pursuant to the Merger Agreement, these shares were tendered and disposed of at the offer acceptance time in exchange for the right to receive (i) the Cash Amount, plus (ii) any CVR Payments. F2: The shares are held directly by Newtyn Partners, LP ("NP") and Newtyn TE Partners, LP ("NTE"). Newtyn Management, LLC, as the investment manager to NP and NTE, possesses the sole power to direct the vote and the sole power to direct the disposition of the securities held by NP and NTE. Newtyn Management, LLC disclaims beneficial ownership of such shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person, NP, NTE or any other person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the Agreement and Plan of Merger, dated as of October 11, 2021, by and among Flexion Therapeutics, Inc. ("Issuer"), Pacira BioSciences, Inc. and Oyster Acquisition Company Inc. ("Purchaser") ("Merger Agreement"), on November 19, 2021, Purchaser merged with and into Issuer, with Issuer continuing as the surviving corporation ("Merger"). At the effective time of the Merger, each share of Issuer's common stock was cancelled in exchange for (i) $8.50 per share in cash ("Cash Amount"), plus (ii) one non-transferable contractual contingent value right per share, which represent the right to receive one or more contingent payments of up to $8.00 per share in the aggregate, in cash, upon the achievement of specified milestones on or prior to December 31, 2030 ("CVR Payments"). Pursuant to the Merger Agreement, these shares were tendered and disposed of at the offer acceptance time in exchange for the right to receive (i) the Cash Amount, plus (ii) any CVR Payments.
F2: The shares are held directly by Newtyn Partners, LP ("NP") and Newtyn TE Partners, LP ("NTE"). Newtyn Management, LLC, as the investment manager to NP and NTE, possesses the sole power to direct the vote and the sole power to direct the disposition of the securities held by NP and NTE. Newtyn Management, LLC disclaims beneficial ownership of such shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person, NP, NTE or any other person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
MERRIMACK PHARMACEUTICALS INC
Report date January 12, 2023 · Filed January 17, 2023
Jointly reported with Levy Noah G., NEWTYN PARTNERS, LP, NEWTYN TE PARTNERS, LP, Newtyn Capital Partners, LP, Ledo Capital, LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 1,119,586 |
Reported balance
After 2023-01-12 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2023-01-12 · Purchase · Acquired 100,000 · Balance 1,119,586 F1: The shares are directly held by NP. The general partner of the Funds is NCP. The general partner of NCP is Ledo. The investment manager to the Funds is Newtyn Management. The managing member of Newtyn Management and Ledo and the portfolio manager to the Funds is Mr. Levy. Each of Newtyn Management, Ledo, NCP and Mr. Levy disclaims beneficial ownership of the shares except to the extent of its or his pecuniary interest therein, if any, and this report shall not be deemed an admission that it or he is the beneficial owner of such shares. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares are directly held by NP. The general partner of the Funds is NCP. The general partner of NCP is Ledo. The investment manager to the Funds is Newtyn Management. The managing member of Newtyn Management and Ledo and the portfolio manager to the Funds is Mr. Levy. Each of Newtyn Management, Ledo, NCP and Mr. Levy disclaims beneficial ownership of the shares except to the extent of its or his pecuniary interest therein, if any, and this report shall not be deemed an admission that it or he is the beneficial owner of such shares.
Past disclosures · reporting ended (3)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Garrett Motion Inc.
Report date April 30, 2021 · Filed May 04, 2021
Jointly reported with NEWTYN PARTNERS, LP, NEWTYN TE PARTNERS, LP, Newtyn Capital Partners, LP, Ledo Capital, LLC, Levy Noah G.
Section 16 reporting ended · disclosed 2021-05-04. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 0 |
Reported balance
After 2021-04-30 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2021-04-30 · Other · Disposed 1,802,095 · Balance 0 F1: On September 20, 2020, Garrett Motion Inc. (the "Issuer") and certain of its subsidiaries (collectively, the "Debtors") each filed a voluntary petition for relief under chapter 11 of title 11 of the United States Code (the "Bankruptcy Code") in the United States Bankruptcy Court for the Southern District of New York (the "Bankruptcy Court"). On April 26, 2021, the Debtors filed an amended Chapter 11 plan of reorganization (the "Plan") and on April 9, 2021, the Issuer filed a supplement to the Plan (as amended on April 20, 2021 and April 22, 2021, the "Plan Supplement") with the Bankruptcy Court. On April 26, 2021, the Bankruptcy Court entered an order confirming the Plan (the "Confirmation Order") and, on April 30, 2021 (the "Effective Date") the conditions to effectiveness of the Plan were satisfied or waived and the Issuer emerged from bankruptcy. F2: (Continued from footnote 1) On the Effective Date, all outstanding shares of the Issuer's common stock outstanding prior to the Effective Date were canceled, released, and extinguished, and of no further force or effect and without any need for a holder of such common stock to take further action with respect thereto. Accordingly, this Form 4 shall constitute an exit filing for the Reporting Persons with respect to the Issuer. F3: Newtyn Partners, LP ("NP") and Newtyn TE Partners, LP ("NTE") directly held 1,117,299 and 684,796 shares, respectively, of common stock of the Issuer. Newtyn Management, LLC ("NM") is the investment manager of NP and NTE. Newtyn Capital Partners, LP ("NCP") is the general partner to each of NP and NTE. Ledo Capital, LLC ("Ledo") is the general partner to NCP. Mr. Noah Levy is managing member to NM. NP, NTE, NM, NCP, Ledo and Mr. Levy are collectively referred to as the "Reporting Persons." |
Filing footnotes · ownership attribution and instrument terms
F1: On September 20, 2020, Garrett Motion Inc. (the "Issuer") and certain of its subsidiaries (collectively, the "Debtors") each filed a voluntary petition for relief under chapter 11 of title 11 of the United States Code (the "Bankruptcy Code") in the United States Bankruptcy Court for the Southern District of New York (the "Bankruptcy Court"). On April 26, 2021, the Debtors filed an amended Chapter 11 plan of reorganization (the "Plan") and on April 9, 2021, the Issuer filed a supplement to the Plan (as amended on April 20, 2021 and April 22, 2021, the "Plan Supplement") with the Bankruptcy Court. On April 26, 2021, the Bankruptcy Court entered an order confirming the Plan (the "Confirmation Order") and, on April 30, 2021 (the "Effective Date") the conditions to effectiveness of the Plan were satisfied or waived and the Issuer emerged from bankruptcy.
F2: (Continued from footnote 1) On the Effective Date, all outstanding shares of the Issuer's common stock outstanding prior to the Effective Date were canceled, released, and extinguished, and of no further force or effect and without any need for a holder of such common stock to take further action with respect thereto. Accordingly, this Form 4 shall constitute an exit filing for the Reporting Persons with respect to the Issuer.
F3: Newtyn Partners, LP ("NP") and Newtyn TE Partners, LP ("NTE") directly held 1,117,299 and 684,796 shares, respectively, of common stock of the Issuer. Newtyn Management, LLC ("NM") is the investment manager of NP and NTE. Newtyn Capital Partners, LP ("NCP") is the general partner to each of NP and NTE. Ledo Capital, LLC ("Ledo") is the general partner to NCP. Mr. Noah Levy is managing member to NM. NP, NTE, NM, NCP, Ledo and Mr. Levy are collectively referred to as the "Reporting Persons."
PACIFIC GAS & ELECTRIC Co
Report date February 01, 2023 · Filed February 03, 2023
Section 16 reporting ended · disclosed 2023-02-03. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| First pref stock, par value $25, 6% nonredeemableSEC Table I · non-derivative | IndirectSee Footnote | 151,396 |
Last balance in matching sequence
After 2023-02-02 transaction · row 5
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2023-02-01 · Sale · Disposed 12,500 · Balance 169,336 F1: The Reporting Person is the investment manager to certain affiliated funds (collectively, the "Newtyn Funds"). The securities reported herein are held in the aggregate by the Newtyn Funds. Pursuant to Reg. Section 240.16a-1(a)(2), the Reporting Person's beneficial ownership is limited to its pecuniary interest, if any, in such securities. Row 5 · 2023-02-02 · Sale · Disposed 17,940 · Balance 151,396 F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.00 to $22.69 per share, 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 herein. F1: The Reporting Person is the investment manager to certain affiliated funds (collectively, the "Newtyn Funds"). The securities reported herein are held in the aggregate by the Newtyn Funds. Pursuant to Reg. Section 240.16a-1(a)(2), the Reporting Person's beneficial ownership is limited to its pecuniary interest, if any, in such securities. |
| First pref stock, par value $25, 5.50% nonredeemableSEC Table I · non-derivative | IndirectSee Footnote | 240,477 |
Last balance in matching sequence
After 2023-02-02 transaction · row 6
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 2 · 2023-02-01 · Sale · Disposed 901 · Balance 241,477 F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.61 to $19.66 per share, 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 herein. F1: The Reporting Person is the investment manager to certain affiliated funds (collectively, the "Newtyn Funds"). The securities reported herein are held in the aggregate by the Newtyn Funds. Pursuant to Reg. Section 240.16a-1(a)(2), the Reporting Person's beneficial ownership is limited to its pecuniary interest, if any, in such securities. Row 6 · 2023-02-02 · Sale · Disposed 1,000 · Balance 240,477 F1: The Reporting Person is the investment manager to certain affiliated funds (collectively, the "Newtyn Funds"). The securities reported herein are held in the aggregate by the Newtyn Funds. Pursuant to Reg. Section 240.16a-1(a)(2), the Reporting Person's beneficial ownership is limited to its pecuniary interest, if any, in such securities. |
| First pref stock, par value $25, 5% redeemableSEC Table I · non-derivative | IndirectSee Footnote | 150,537 |
Last balance in matching sequence
After 2023-02-02 transaction · row 7
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 3 · 2023-02-01 · Sale · Disposed 650 · Balance 152,037 F1: The Reporting Person is the investment manager to certain affiliated funds (collectively, the "Newtyn Funds"). The securities reported herein are held in the aggregate by the Newtyn Funds. Pursuant to Reg. Section 240.16a-1(a)(2), the Reporting Person's beneficial ownership is limited to its pecuniary interest, if any, in such securities. Row 7 · 2023-02-02 · Sale · Disposed 1,500 · Balance 150,537 F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.94 to $18.01 per share, 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 herein. F1: The Reporting Person is the investment manager to certain affiliated funds (collectively, the "Newtyn Funds"). The securities reported herein are held in the aggregate by the Newtyn Funds. Pursuant to Reg. Section 240.16a-1(a)(2), the Reporting Person's beneficial ownership is limited to its pecuniary interest, if any, in such securities. |
| First pref stock, par value $25, 4.36% series A redeemableSEC Table I · non-derivative | IndirectSee Footnote | 102,988 |
Last balance in matching sequence
After 2023-02-02 transaction · row 9
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 4 · 2023-02-01 · Sale · Disposed 1,000 · Balance 103,488 F1: The Reporting Person is the investment manager to certain affiliated funds (collectively, the "Newtyn Funds"). The securities reported herein are held in the aggregate by the Newtyn Funds. Pursuant to Reg. Section 240.16a-1(a)(2), the Reporting Person's beneficial ownership is limited to its pecuniary interest, if any, in such securities. Row 9 · 2023-02-02 · Sale · Disposed 500 · Balance 102,988 F6: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.20 to $16.25 per share, 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 herein. F1: The Reporting Person is the investment manager to certain affiliated funds (collectively, the "Newtyn Funds"). The securities reported herein are held in the aggregate by the Newtyn Funds. Pursuant to Reg. Section 240.16a-1(a)(2), the Reporting Person's beneficial ownership is limited to its pecuniary interest, if any, in such securities. |
| First pref stock, par value $25, 5% series A redeemableSEC Table I · non-derivative | IndirectSee Footnote | 65,061 |
Reported balance
After 2023-02-02 transaction · row 8
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 8 · 2023-02-02 · Sale · Disposed 4,930 · Balance 65,061 F5: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.795 to $17.91 per share, 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 herein. F1: The Reporting Person is the investment manager to certain affiliated funds (collectively, the "Newtyn Funds"). The securities reported herein are held in the aggregate by the Newtyn Funds. Pursuant to Reg. Section 240.16a-1(a)(2), the Reporting Person's beneficial ownership is limited to its pecuniary interest, if any, in such securities. |
| First pref stock, par value $25, 5% nonredeemableSEC Table I · non-derivative | IndirectSee Footnote | 30,402 |
Reported balance
Holding disclosure · report date 2023-02-01 · row 10
Holding and transaction disclosures are not merged.
1 source rowRow 10 · Balance 30,402 F1: The Reporting Person is the investment manager to certain affiliated funds (collectively, the "Newtyn Funds"). The securities reported herein are held in the aggregate by the Newtyn Funds. Pursuant to Reg. Section 240.16a-1(a)(2), the Reporting Person's beneficial ownership is limited to its pecuniary interest, if any, in such securities. |
| First pref stock, par value $25, 4.80% redeemableSEC Table I · non-derivative | IndirectSee Footnote | 135,755 |
Reported balance
Holding disclosure · report date 2023-02-01 · row 11
Holding and transaction disclosures are not merged.
1 source rowRow 11 · Balance 135,755 F1: The Reporting Person is the investment manager to certain affiliated funds (collectively, the "Newtyn Funds"). The securities reported herein are held in the aggregate by the Newtyn Funds. Pursuant to Reg. Section 240.16a-1(a)(2), the Reporting Person's beneficial ownership is limited to its pecuniary interest, if any, in such securities. |
| First pref stock, par value $25, 4.50% redeemableSEC Table I · non-derivative | IndirectSee Footnote | 135,492 |
Reported balance
Holding disclosure · report date 2023-02-01 · row 12
Holding and transaction disclosures are not merged.
1 source rowRow 12 · Balance 135,492 F1: The Reporting Person is the investment manager to certain affiliated funds (collectively, the "Newtyn Funds"). The securities reported herein are held in the aggregate by the Newtyn Funds. Pursuant to Reg. Section 240.16a-1(a)(2), the Reporting Person's beneficial ownership is limited to its pecuniary interest, if any, in such securities. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person is the investment manager to certain affiliated funds (collectively, the "Newtyn Funds"). The securities reported herein are held in the aggregate by the Newtyn Funds. Pursuant to Reg. Section 240.16a-1(a)(2), the Reporting Person's beneficial ownership is limited to its pecuniary interest, if any, in such securities.
F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.61 to $19.66 per share, 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 herein.
F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.00 to $22.69 per share, 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 herein.
F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.94 to $18.01 per share, 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 herein.
F5: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.795 to $17.91 per share, 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 herein.
F6: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.20 to $16.25 per share, 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 herein.
Pfenex Inc.
Report date September 30, 2020 · Filed October 02, 2020
Section 16 reporting ended · disclosed 2020-10-02. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.001 per shareSEC Table I · non-derivative | IndirectSee footnote | 0 |
Reported balance
After 2020-09-30 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2020-09-30 · Other · Disposed 3,850,000 · Balance 0 F1: Each share was tendered and sold to a wholly owned subsidiary of Ligand Pharmaceuticals Incorporated for (i) $12.00 per share, in cash, and (ii) a non-transferrable contractual right to receive a contingent payment of up to $2.00 in cash, if a specified milestone is achieved, without interest and less any applicable withholding taxes. F2: The shares are held directly by Newtyn Partners, LP ("NP") and Newtyn TE Partners, LP ("NTE"). Newtyn Management, LLC, as the investment manager to NP and NTE, possesses the sole power to direct the vote and the sole power to direct the disposition all investment and dispositive power over the securities held by NP and NTE. Newtyn Management, LLC disclaims beneficial ownership of such shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person, NP, NTE or any other person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share was tendered and sold to a wholly owned subsidiary of Ligand Pharmaceuticals Incorporated for (i) $12.00 per share, in cash, and (ii) a non-transferrable contractual right to receive a contingent payment of up to $2.00 in cash, if a specified milestone is achieved, without interest and less any applicable withholding taxes.
F2: The shares are held directly by Newtyn Partners, LP ("NP") and Newtyn TE Partners, LP ("NTE"). Newtyn Management, LLC, as the investment manager to NP and NTE, possesses the sole power to direct the vote and the sole power to direct the disposition all investment and dispositive power over the securities held by NP and NTE. Newtyn Management, LLC disclaims beneficial ownership of such shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person, NP, NTE or any other person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| May 23, 2022 Filed May 24, 2022 20:30 UTC | PACIFIC GAS & ELECTRIC Co PCG · Entity 25671 | SaleFirst pref stock, par value $25, 5.50% nonredeemable | 100 | $21.50 | $2,150.00 |
DisclosureSEC source: 0001493152-22-014949 · ownership.xml · nonDerivative · entry 4 Newtyn Management, LLC · CIK 0001569241 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 254,900 F1 · ownership.nature: The Reporting Person is the investment manager to certain affiliated funds (collectively, the "Newtyn Funds"). The securities reported herein are held in the aggregate by the Newtyn Funds. Pursuant to Reg. Section 240.16a-1(a)(2), the Reporting Person's beneficial ownership is limited to its pecuniary interest, if any, in such securities. Read SEC document |
| May 23, 2022 Filed May 24, 2022 20:30 UTC | PACIFIC GAS & ELECTRIC Co PCG · Entity 25671 | SaleFirst pref stock, par value $25, 6% nonredeemable | 500 | $23.75 | $11,875.00 |
DisclosureSEC source: 0001493152-22-014949 · ownership.xml · nonDerivative · entry 3 Newtyn Management, LLC · CIK 0001569241 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 378,333 F1 · ownership.nature: The Reporting Person is the investment manager to certain affiliated funds (collectively, the "Newtyn Funds"). The securities reported herein are held in the aggregate by the Newtyn Funds. Pursuant to Reg. Section 240.16a-1(a)(2), the Reporting Person's beneficial ownership is limited to its pecuniary interest, if any, in such securities. Read SEC document |
| May 20, 2022 Filed May 24, 2022 20:30 UTC | PACIFIC GAS & ELECTRIC Co PCG · Entity 25671 | SaleFirst pref stock, par value $25, 4.80% redeemable | 2,705 | $20.25 | $54,788.15 |
DisclosureSEC source: 0001493152-22-014949 · ownership.xml · nonDerivative · entry 2 Newtyn Management, LLC · CIK 0001569241 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 148,175 F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $20.25 to $20.30 per share, 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 purchased at each separate price within the ranges set forth herein. F1 · ownership.nature: The Reporting Person is the investment manager to certain affiliated funds (collectively, the "Newtyn Funds"). The securities reported herein are held in the aggregate by the Newtyn Funds. Pursuant to Reg. Section 240.16a-1(a)(2), the Reporting Person's beneficial ownership is limited to its pecuniary interest, if any, in such securities. Read SEC document |
| May 20, 2022 Filed May 24, 2022 20:30 UTC | PACIFIC GAS & ELECTRIC Co PCG · Entity 25671 | SaleFirst pref stock, par value $25, 6% nonredeemable | 1,378 | $23.75 | $32,733.56 |
DisclosureSEC source: 0001493152-22-014949 · ownership.xml · nonDerivative · entry 1 Newtyn Management, LLC · CIK 0001569241 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 378,833 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $23.75 to $23.76 per share, 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 purchased at each separate price within the ranges set forth herein. F1 · ownership.nature: The Reporting Person is the investment manager to certain affiliated funds (collectively, the "Newtyn Funds"). The securities reported herein are held in the aggregate by the Newtyn Funds. Pursuant to Reg. Section 240.16a-1(a)(2), the Reporting Person's beneficial ownership is limited to its pecuniary interest, if any, in such securities. Read SEC document |
| April 05, 2022 Filed Apr 5, 2022 21:00 UTC | PACIFIC GAS & ELECTRIC Co PCG · Entity 25671 | PurchaseFirst pref stock, par value $25, 4.80% redeemable | 2,400 | $24.29 | $58,300.08 |
DisclosureSEC source: 0000905718-22-000538 · pacificgas_fm4apr012022.xml · nonDerivative · entry 1 Newtyn Management, LLC · CIK 0001569241 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 150,380 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $23.52 to $24.34 per share, 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 purchased at each separate price within the ranges set forth herein. F1 · ownership.nature: The Reporting Person is the investment manager to certain affiliated funds (collectively, the "Newtyn Funds"). The securities reported herein are held in the aggregate by the Newtyn Funds. Pursuant to Reg. Section 240.16a-1(a)(2), the Reporting Person's beneficial ownership is limited to its pecuniary interest, if any, in such securities. Read SEC document |
| April 05, 2022 Filed Apr 7, 2022 21:31 UTC | PACIFIC GAS & ELECTRIC Co PCG · Entity 25671 | PurchaseFirst pref stock, par value $25, 4.80% redeemable | 500 | $24.26 | $12,131.60 |
DisclosureSEC source: 0000905718-22-000555 · pacificgas_fm4apr052022.xml · nonDerivative · entry 1 Newtyn Management, LLC · CIK 0001569241 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 150,880 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $24.00 to $24.34 per share, 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 purchased at each separate price within the ranges set forth herein. F1 · ownership.nature: The Reporting Person is the investment manager to certain affiliated funds (collectively, the "Newtyn Funds"). The securities reported herein are held in the aggregate by the Newtyn Funds. Pursuant to Reg. Section 240.16a-1(a)(2), the Reporting Person's beneficial ownership is limited to its pecuniary interest, if any, in such securities. Read SEC document |
| April 01, 2022 Filed Apr 6, 2022 13:37 UTC Amendment | PACIFIC GAS & ELECTRIC Co PCG · Entity 25671 | PurchaseFirst pref stock, par value $25, 4.80% redeemable | 2,400 | $24.29 | $58,300.08 |
DisclosureSEC source: 0000905718-22-000540 · pacificgas_fm4amendapr052022.xml · nonDerivative · entry 1 Newtyn Management, LLC · CIK 0001569241 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 150,380 F3 · date: The original Form 4 filed by the Reporting Person on April 5, 2022 incorrectly reported the transaction date as April 5, 2022. The reported transaction occurred on April 1, 2022 as reported herein. F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $23.52 to $24.34 per share, 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 purchased at each separate price within the ranges set forth herein. F1 · ownership.nature: The Reporting Person is the investment manager to certain affiliated funds (collectively, the "Newtyn Funds"). The securities reported herein are held in the aggregate by the Newtyn Funds. Pursuant to Reg. Section 240.16a-1(a)(2), the Reporting Person's beneficial ownership is limited to its pecuniary interest, if any, in such securities. Read SEC document |
| February 16, 2022 Filed Mar 4, 2022 23:07 UTC | PACIFIC GAS & ELECTRIC Co PCG · Entity 25671 | PurchaseFirst pref stock, par value $25, 4.50% redeemable | 8,716 | $23.95 | $208,748.20 |
DisclosureSEC source: 0000905718-22-000449 · ownership.xml · nonDerivative · entry 15 Newtyn Management, LLC · CIK 0001569241 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 144,228 F1 · ownership.nature: The Reporting Person is the investment manager to certain affiliated funds (collectively, the "Newtyn Funds"). The securities reported herein are held in the aggregate by the Newtyn Funds. Pursuant to Reg. Section 240.16a-1(a)(2), the Reporting Person's beneficial ownership is limited to its pecuniary interest, if any, in such securities. Read SEC document |
| February 16, 2022 Filed Mar 4, 2022 23:07 UTC | PACIFIC GAS & ELECTRIC Co PCG · Entity 25671 | PurchaseFirst pref stock, par value $25, 4.36% series A redeemable | 144 | $23.75 | $3,420.00 |
DisclosureSEC source: 0000905718-22-000449 · ownership.xml · nonDerivative · entry 14 Newtyn Management, LLC · CIK 0001569241 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 110,363 F1 · ownership.nature: The Reporting Person is the investment manager to certain affiliated funds (collectively, the "Newtyn Funds"). The securities reported herein are held in the aggregate by the Newtyn Funds. Pursuant to Reg. Section 240.16a-1(a)(2), the Reporting Person's beneficial ownership is limited to its pecuniary interest, if any, in such securities. Read SEC document |
| February 16, 2022 Filed Mar 4, 2022 23:07 UTC | PACIFIC GAS & ELECTRIC Co PCG · Entity 25671 | PurchaseFirst pref stock, par value $25, 4.80% redeemable | 41,917 | $25.05 | $1,050,020.85 |
DisclosureSEC source: 0000905718-22-000449 · ownership.xml · nonDerivative · entry 13 Newtyn Management, LLC · CIK 0001569241 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 147,980 F1 · ownership.nature: The Reporting Person is the investment manager to certain affiliated funds (collectively, the "Newtyn Funds"). The securities reported herein are held in the aggregate by the Newtyn Funds. Pursuant to Reg. Section 240.16a-1(a)(2), the Reporting Person's beneficial ownership is limited to its pecuniary interest, if any, in such securities. Read SEC document |
| February 16, 2022 Filed Mar 4, 2022 23:07 UTC | PACIFIC GAS & ELECTRIC Co PCG · Entity 25671 | PurchaseFirst pref stock, par value $25, 5% nonredeemable | 15,267 | $26.25 | $400,758.75 |
DisclosureSEC source: 0000905718-22-000449 · ownership.xml · nonDerivative · entry 12 Newtyn Management, LLC · CIK 0001569241 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 65,247 F1 · ownership.nature: The Reporting Person is the investment manager to certain affiliated funds (collectively, the "Newtyn Funds"). The securities reported herein are held in the aggregate by the Newtyn Funds. Pursuant to Reg. Section 240.16a-1(a)(2), the Reporting Person's beneficial ownership is limited to its pecuniary interest, if any, in such securities. Read SEC document |
| February 16, 2022 Filed Mar 4, 2022 23:07 UTC | PACIFIC GAS & ELECTRIC Co PCG · Entity 25671 | PurchaseFirst pref stock, par value $25, 5.50% nonredeemable | 44,122 | $28.06 | $1,238,063.32 |
DisclosureSEC source: 0000905718-22-000449 · ownership.xml · nonDerivative · entry 11 Newtyn Management, LLC · CIK 0001569241 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 255,000 F10 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $28.00 to $28.15 per share, 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 purchased at each separate price within the ranges set forth herein. F1 · ownership.nature: The Reporting Person is the investment manager to certain affiliated funds (collectively, the "Newtyn Funds"). The securities reported herein are held in the aggregate by the Newtyn Funds. Pursuant to Reg. Section 240.16a-1(a)(2), the Reporting Person's beneficial ownership is limited to its pecuniary interest, if any, in such securities. Read SEC document |
| February 15, 2022 Filed Mar 4, 2022 23:07 UTC | PACIFIC GAS & ELECTRIC Co PCG · Entity 25671 | PurchaseFirst pref stock, par value $25, 5.50% nonredeemable | 1,200 | $28.23 | $33,870.00 |
DisclosureSEC source: 0000905718-22-000449 · ownership.xml · nonDerivative · entry 10 Newtyn Management, LLC · CIK 0001569241 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 210,878 F9 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $28.15 to $28.25 per share, 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 purchased at each separate price within the ranges set forth herein. F1 · ownership.nature: The Reporting Person is the investment manager to certain affiliated funds (collectively, the "Newtyn Funds"). The securities reported herein are held in the aggregate by the Newtyn Funds. Pursuant to Reg. Section 240.16a-1(a)(2), the Reporting Person's beneficial ownership is limited to its pecuniary interest, if any, in such securities. Read SEC document |
| February 11, 2022 Filed Mar 4, 2022 23:07 UTC | PACIFIC GAS & ELECTRIC Co PCG · Entity 25671 | PurchaseFirst pref stock, par value $25, 5.50% nonredeemable | 299 | $29.10 | $8,700.90 |
DisclosureSEC source: 0000905718-22-000449 · ownership.xml · nonDerivative · entry 9 Newtyn Management, LLC · CIK 0001569241 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 209,678 F1 · ownership.nature: The Reporting Person is the investment manager to certain affiliated funds (collectively, the "Newtyn Funds"). The securities reported herein are held in the aggregate by the Newtyn Funds. Pursuant to Reg. Section 240.16a-1(a)(2), the Reporting Person's beneficial ownership is limited to its pecuniary interest, if any, in such securities. Read SEC document |
| February 10, 2022 Filed Mar 4, 2022 23:07 UTC | PACIFIC GAS & ELECTRIC Co PCG · Entity 25671 | PurchaseFirst pref stock, par value $25, 4.36% series A redeemable | 29,427 | $24.50 | $720,961.50 |
DisclosureSEC source: 0000905718-22-000449 · ownership.xml · nonDerivative · entry 8 Newtyn Management, LLC · CIK 0001569241 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 110,219 F1 · ownership.nature: The Reporting Person is the investment manager to certain affiliated funds (collectively, the "Newtyn Funds"). The securities reported herein are held in the aggregate by the Newtyn Funds. Pursuant to Reg. Section 240.16a-1(a)(2), the Reporting Person's beneficial ownership is limited to its pecuniary interest, if any, in such securities. Read SEC document |
| February 10, 2022 Filed Mar 4, 2022 23:07 UTC | PACIFIC GAS & ELECTRIC Co PCG · Entity 25671 | PurchaseFirst pref stock, par value $25, 4.50% redeemable | 48,387 | $24.70 | $1,195,144.38 |
DisclosureSEC source: 0000905718-22-000449 · ownership.xml · nonDerivative · entry 7 Newtyn Management, LLC · CIK 0001569241 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 135,512 F8 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $24.44 to $25.20 per share, 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 purchased at each separate price within the ranges set forth herein. F1 · ownership.nature: The Reporting Person is the investment manager to certain affiliated funds (collectively, the "Newtyn Funds"). The securities reported herein are held in the aggregate by the Newtyn Funds. Pursuant to Reg. Section 240.16a-1(a)(2), the Reporting Person's beneficial ownership is limited to its pecuniary interest, if any, in such securities. Read SEC document |
| February 10, 2022 Filed Mar 4, 2022 23:07 UTC | PACIFIC GAS & ELECTRIC Co PCG · Entity 25671 | PurchaseFirst pref stock, par value $25, 4.50% redeemable | 2,125 | $23.35 | $49,608.13 |
DisclosureSEC source: 0000905718-22-000449 · ownership.xml · nonDerivative · entry 6 Newtyn Management, LLC · CIK 0001569241 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 87,125 F7 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $23.28 to $23.89 per share, 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 purchased at each separate price within the ranges set forth herein. F1 · ownership.nature: The Reporting Person is the investment manager to certain affiliated funds (collectively, the "Newtyn Funds"). The securities reported herein are held in the aggregate by the Newtyn Funds. Pursuant to Reg. Section 240.16a-1(a)(2), the Reporting Person's beneficial ownership is limited to its pecuniary interest, if any, in such securities. Read SEC document |
| February 10, 2022 Filed Mar 4, 2022 23:07 UTC | PACIFIC GAS & ELECTRIC Co PCG · Entity 25671 | PurchaseFirst pref stock, par value $25, 4.80% redeemable | 58,083 | $25.78 | $1,497,553.99 |
DisclosureSEC source: 0000905718-22-000449 · ownership.xml · nonDerivative · entry 5 Newtyn Management, LLC · CIK 0001569241 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 106,063 F6 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $24.96 to $25.80 per share, 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 purchased at each separate price within the ranges set forth herein. F1 · ownership.nature: The Reporting Person is the investment manager to certain affiliated funds (collectively, the "Newtyn Funds"). The securities reported herein are held in the aggregate by the Newtyn Funds. Pursuant to Reg. Section 240.16a-1(a)(2), the Reporting Person's beneficial ownership is limited to its pecuniary interest, if any, in such securities. Read SEC document |
| February 10, 2022 Filed Mar 4, 2022 23:07 UTC | PACIFIC GAS & ELECTRIC Co PCG · Entity 25671 | PurchaseFirst pref stock, par value $25, 5% series A redeemable | 55,662 | $26.40 | $1,469,476.80 |
DisclosureSEC source: 0000905718-22-000449 · ownership.xml · nonDerivative · entry 4 Newtyn Management, LLC · CIK 0001569241 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 106,736 F5 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $26.40 to $26.67 per share, 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 purchased at each separate price within the ranges set forth herein. F1 · ownership.nature: The Reporting Person is the investment manager to certain affiliated funds (collectively, the "Newtyn Funds"). The securities reported herein are held in the aggregate by the Newtyn Funds. Pursuant to Reg. Section 240.16a-1(a)(2), the Reporting Person's beneficial ownership is limited to its pecuniary interest, if any, in such securities. Read SEC document |
| February 10, 2022 Filed Mar 4, 2022 23:07 UTC | PACIFIC GAS & ELECTRIC Co PCG · Entity 25671 | PurchaseFirst pref stock, par value $25, 5% series A redeemable | 962 | $25.59 | $24,618.54 |
DisclosureSEC source: 0000905718-22-000449 · ownership.xml · nonDerivative · entry 3 Newtyn Management, LLC · CIK 0001569241 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 51,074 F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $25.19 to $26.00 per share, 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 purchased at each separate price within the ranges set forth herein. F1 · ownership.nature: The Reporting Person is the investment manager to certain affiliated funds (collectively, the "Newtyn Funds"). The securities reported herein are held in the aggregate by the Newtyn Funds. Pursuant to Reg. Section 240.16a-1(a)(2), the Reporting Person's beneficial ownership is limited to its pecuniary interest, if any, in such securities. Read SEC document |
| February 10, 2022 Filed Mar 4, 2022 23:07 UTC | PACIFIC GAS & ELECTRIC Co PCG · Entity 25671 | PurchaseFirst pref stock, par value $25, 5% redeemable | 56,611 | $26.30 | $1,489,039.13 |
DisclosureSEC source: 0000905718-22-000449 · ownership.xml · nonDerivative · entry 2 Newtyn Management, LLC · CIK 0001569241 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 189,441 F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $26.30 to $26.66 per share, 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 purchased at each separate price within the ranges set forth herein. F1 · ownership.nature: The Reporting Person is the investment manager to certain affiliated funds (collectively, the "Newtyn Funds"). The securities reported herein are held in the aggregate by the Newtyn Funds. Pursuant to Reg. Section 240.16a-1(a)(2), the Reporting Person's beneficial ownership is limited to its pecuniary interest, if any, in such securities. Read SEC document |
| February 10, 2022 Filed Mar 4, 2022 23:07 UTC | PACIFIC GAS & ELECTRIC Co PCG · Entity 25671 | PurchaseFirst pref stock, par value $25, 5% redeemable | 546 | $25.71 | $14,039.30 |
DisclosureSEC source: 0000905718-22-000449 · ownership.xml · nonDerivative · entry 1 Newtyn Management, LLC · CIK 0001569241 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 132,830 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $25.23 to $26.00 per share, 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 purchased at each separate price within the ranges set forth herein. F1 · ownership.nature: The Reporting Person is the investment manager to certain affiliated funds (collectively, the "Newtyn Funds"). The securities reported herein are held in the aggregate by the Newtyn Funds. Pursuant to Reg. Section 240.16a-1(a)(2), the Reporting Person's beneficial ownership is limited to its pecuniary interest, if any, in such securities. Read SEC document |
| January 31, 2022 Filed Feb 1, 2022 16:05 UTC | MERRIMACK PHARMACEUTICALS INC MACK · Entity 95770 | PurchaseCommon Stock | 523 | $5.05 | $2,640.78 |
DisclosureSEC source: 0000899243-22-003837 · doc4.xml · nonDerivative · entry 4 Levy Noah G. · CIK 0001788608 · Director · See remarks Newtyn Management, LLC · CIK 0001569241 · See Remarks NEWTYN PARTNERS, LP · CIK 0001548707 · See Remarks NEWTYN TE PARTNERS, LP · CIK 0001548709 · See Remarks Newtyn Capital Partners, LP · CIK 0001789643 · See Remarks Ledo Capital, LLC · CIK 0001789647 · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 724,275 F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.87 to $5.19, 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 footnote (3) to this Form 4. F4 · ownership.nature: The shares are directly held Newtyn TE. The general partner of the Funds is NCP. The general partner of NCP is Ledo. The investment manager to the Funds is Newtyn Management. The managing member of Newtyn Management and Ledo and the portfolio manager to the Funds is Mr. Levy. Each of Newtyn Management, Ledo, NCP and Mr. Levy disclaims beneficial ownership of the shares except to the extent of its or his pecuniary interest therein, if any, and this report shall not be deemed an admission that it or he is the beneficial owner of such shares. Read SEC document |
| January 31, 2022 Filed Feb 1, 2022 16:05 UTC | MERRIMACK PHARMACEUTICALS INC MACK · Entity 95770 | PurchaseCommon Stock | 714 | $5.05 | $3,605.20 |
DisclosureSEC source: 0000899243-22-003837 · doc4.xml · nonDerivative · entry 3 Levy Noah G. · CIK 0001788608 · Director · See remarks Newtyn Management, LLC · CIK 0001569241 · See Remarks NEWTYN PARTNERS, LP · CIK 0001548707 · See Remarks NEWTYN TE PARTNERS, LP · CIK 0001548709 · See Remarks Newtyn Capital Partners, LP · CIK 0001789643 · See Remarks Ledo Capital, LLC · CIK 0001789647 · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 989,337 F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.87 to $5.19, 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 footnote (3) to this Form 4. F2 · ownership.nature: The shares are directly held by NP. The general partner of the Funds is NCP. The general partner of NCP is Ledo. The investment manager to the Funds is Newtyn Management. The managing member of Newtyn Management and Ledo and the portfolio manager to the Funds is Mr. Levy. Each of Newtyn Management, Ledo, NCP and Mr. Levy disclaims beneficial ownership of the shares except to the extent of its or his pecuniary interest therein, if any, and this report shall not be deemed an admission that it or he is the beneficial owner of such shares. Read SEC document |
| January 28, 2022 Filed Feb 1, 2022 16:05 UTC | MERRIMACK PHARMACEUTICALS INC MACK · Entity 95770 | PurchaseCommon Stock | 11,458 | $4.48 | $51,295.17 |
DisclosureSEC source: 0000899243-22-003837 · doc4.xml · nonDerivative · entry 2 Levy Noah G. · CIK 0001788608 · Director · See remarks Newtyn Management, LLC · CIK 0001569241 · See Remarks NEWTYN PARTNERS, LP · CIK 0001548707 · See Remarks NEWTYN TE PARTNERS, LP · CIK 0001548709 · See Remarks Newtyn Capital Partners, LP · CIK 0001789643 · See Remarks Ledo Capital, LLC · CIK 0001789647 · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 723,752 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.28 to $4.80, 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 footnote (1) to this Form 4. F4 · ownership.nature: The shares are directly held Newtyn TE. The general partner of the Funds is NCP. The general partner of NCP is Ledo. The investment manager to the Funds is Newtyn Management. The managing member of Newtyn Management and Ledo and the portfolio manager to the Funds is Mr. Levy. Each of Newtyn Management, Ledo, NCP and Mr. Levy disclaims beneficial ownership of the shares except to the extent of its or his pecuniary interest therein, if any, and this report shall not be deemed an admission that it or he is the beneficial owner of such shares. Read SEC document |
| January 28, 2022 Filed Feb 1, 2022 16:05 UTC | MERRIMACK PHARMACEUTICALS INC MACK · Entity 95770 | PurchaseCommon Stock | 1,505 | $4.48 | $6,737.58 |
DisclosureSEC source: 0000899243-22-003837 · doc4.xml · nonDerivative · entry 1 Levy Noah G. · CIK 0001788608 · Director · See remarks Newtyn Management, LLC · CIK 0001569241 · See Remarks NEWTYN PARTNERS, LP · CIK 0001548707 · See Remarks NEWTYN TE PARTNERS, LP · CIK 0001548709 · See Remarks Newtyn Capital Partners, LP · CIK 0001789643 · See Remarks Ledo Capital, LLC · CIK 0001789647 · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 988,623 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.28 to $4.80, 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 footnote (1) to this Form 4. F2 · ownership.nature: The shares are directly held by NP. The general partner of the Funds is NCP. The general partner of NCP is Ledo. The investment manager to the Funds is Newtyn Management. The managing member of Newtyn Management and Ledo and the portfolio manager to the Funds is Mr. Levy. Each of Newtyn Management, Ledo, NCP and Mr. Levy disclaims beneficial ownership of the shares except to the extent of its or his pecuniary interest therein, if any, and this report shall not be deemed an admission that it or he is the beneficial owner of such shares. Read SEC document |
| January 27, 2022 Filed Jan 28, 2022 16:05 UTC | MERRIMACK PHARMACEUTICALS INC MACK · Entity 95770 | PurchaseCommon Stock | 16,272 | $4.82 | $78,474.97 |
DisclosureSEC source: 0000899243-22-003553 · doc4.xml · nonDerivative · entry 2 Levy Noah G. · CIK 0001788608 · Director · See remarks Newtyn Management, LLC · CIK 0001569241 · See Remarks NEWTYN PARTNERS, LP · CIK 0001548707 · See Remarks NEWTYN TE PARTNERS, LP · CIK 0001548709 · See Remarks Newtyn Capital Partners, LP · CIK 0001789643 · See Remarks Ledo Capital, LLC · CIK 0001789647 · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 712,294 F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.59 to $5.14, 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 footnote (3) to this Form 4. F2 · ownership.nature: The shares are directly held Newtyn TE. The general partner of the Funds is NCP. The general partner of NCP is Ledo. The investment manager to the Funds is Newtyn Management. The managing member of Newtyn Management and Ledo and the portfolio manager to the Funds is Mr. Levy. Each of Newtyn Management, Ledo, NCP and Mr. Levy disclaims beneficial ownership of the shares except to the extent of its or his pecuniary interest therein, if any, and this report shall not be deemed an admission that it or he is the beneficial owner of such shares. Read SEC document |
| January 26, 2022 Filed Jan 28, 2022 16:05 UTC | MERRIMACK PHARMACEUTICALS INC MACK · Entity 95770 | PurchaseCommon Stock | 19,528 | $5.01 | $97,784.51 |
DisclosureSEC source: 0000899243-22-003553 · doc4.xml · nonDerivative · entry 1 Levy Noah G. · CIK 0001788608 · Director · See remarks Newtyn Management, LLC · CIK 0001569241 · See Remarks NEWTYN PARTNERS, LP · CIK 0001548707 · See Remarks NEWTYN TE PARTNERS, LP · CIK 0001548709 · See Remarks Newtyn Capital Partners, LP · CIK 0001789643 · See Remarks Ledo Capital, LLC · CIK 0001789647 · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 696,022 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.90 to $5.17, 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 footnote (1) to this Form 4. F2 · ownership.nature: The shares are directly held Newtyn TE. The general partner of the Funds is NCP. The general partner of NCP is Ledo. The investment manager to the Funds is Newtyn Management. The managing member of Newtyn Management and Ledo and the portfolio manager to the Funds is Mr. Levy. Each of Newtyn Management, Ledo, NCP and Mr. Levy disclaims beneficial ownership of the shares except to the extent of its or his pecuniary interest therein, if any, and this report shall not be deemed an admission that it or he is the beneficial owner of such shares. Read SEC document |
| January 11, 2022 Filed Jan 12, 2022 16:05 UTC | MERRIMACK PHARMACEUTICALS INC MACK · Entity 95770 | PurchaseCommon Stock | 14,728 | $4.00 | $58,884.02 |
DisclosureSEC source: 0000899243-22-001744 · doc4.xml · nonDerivative · entry 4 Levy Noah G. · CIK 0001788608 · Director · See remarks Newtyn Management, LLC · CIK 0001569241 · See Remarks NEWTYN PARTNERS, LP · CIK 0001548707 · See Remarks NEWTYN TE PARTNERS, LP · CIK 0001548709 · See Remarks Newtyn Capital Partners, LP · CIK 0001789643 · See Remarks Ledo Capital, LLC · CIK 0001789647 · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 676,494 F6 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.78 to $4.00, 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 footnote (6) to this Form 4. F4 · ownership.nature: The shares are directly held Newtyn TE. The general partner of the Funds is NCP. The general partner of NCP is Ledo. The investment manager to the Funds is Newtyn Management. The managing member of Newtyn Management and Ledo and the portfolio manager to the Funds is Mr. Levy. Each of Newtyn Management, Ledo, NCP and Mr. Levy disclaims beneficial ownership of the shares except to the extent of its or his pecuniary interest therein, if any, and this report shall not be deemed an admission that it or he is the beneficial owner of such shares. Read SEC document |
| January 11, 2022 Filed Jan 12, 2022 16:05 UTC | MERRIMACK PHARMACEUTICALS INC MACK · Entity 95770 | PurchaseCommon Stock | 76,542 | $4.00 | $306,022.57 |
DisclosureSEC source: 0000899243-22-001744 · doc4.xml · nonDerivative · entry 3 Levy Noah G. · CIK 0001788608 · Director · See remarks Newtyn Management, LLC · CIK 0001569241 · See Remarks NEWTYN PARTNERS, LP · CIK 0001548707 · See Remarks NEWTYN TE PARTNERS, LP · CIK 0001548709 · See Remarks Newtyn Capital Partners, LP · CIK 0001789643 · See Remarks Ledo Capital, LLC · CIK 0001789647 · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 987,118 F5 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.78 to $4.00, 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 footnote (5) to this Form 4. F2 · ownership.nature: The shares are directly held by NP. The general partner of the Funds is NCP. The general partner of NCP is Ledo. The investment manager to the Funds is Newtyn Management. The managing member of Newtyn Management and Ledo and the portfolio manager to the Funds is Mr. Levy. Each of Newtyn Management, Ledo, NCP and Mr. Levy disclaims beneficial ownership of the shares except to the extent of its or his pecuniary interest therein, if any, and this report shall not be deemed an admission that it or he is the beneficial owner of such shares. Read SEC document |
| January 10, 2022 Filed Jan 12, 2022 16:05 UTC | MERRIMACK PHARMACEUTICALS INC MACK · Entity 95770 | PurchaseCommon Stock | 5,960 | $3.83 | $22,853.02 |
DisclosureSEC source: 0000899243-22-001744 · doc4.xml · nonDerivative · entry 2 Levy Noah G. · CIK 0001788608 · Director · See remarks Newtyn Management, LLC · CIK 0001569241 · See Remarks NEWTYN PARTNERS, LP · CIK 0001548707 · See Remarks NEWTYN TE PARTNERS, LP · CIK 0001548709 · See Remarks Newtyn Capital Partners, LP · CIK 0001789643 · See Remarks Ledo Capital, LLC · CIK 0001789647 · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 661,766 F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.775 to $3.92, 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 footnote (3) to this Form 4. F4 · ownership.nature: The shares are directly held Newtyn TE. The general partner of the Funds is NCP. The general partner of NCP is Ledo. The investment manager to the Funds is Newtyn Management. The managing member of Newtyn Management and Ledo and the portfolio manager to the Funds is Mr. Levy. Each of Newtyn Management, Ledo, NCP and Mr. Levy disclaims beneficial ownership of the shares except to the extent of its or his pecuniary interest therein, if any, and this report shall not be deemed an admission that it or he is the beneficial owner of such shares. Read SEC document |
| January 10, 2022 Filed Jan 12, 2022 16:05 UTC | MERRIMACK PHARMACEUTICALS INC MACK · Entity 95770 | PurchaseCommon Stock | 8,719 | $3.83 | $33,432.13 |
DisclosureSEC source: 0000899243-22-001744 · doc4.xml · nonDerivative · entry 1 Levy Noah G. · CIK 0001788608 · Director · See remarks Newtyn Management, LLC · CIK 0001569241 · See Remarks NEWTYN PARTNERS, LP · CIK 0001548707 · See Remarks NEWTYN TE PARTNERS, LP · CIK 0001548709 · See Remarks Newtyn Capital Partners, LP · CIK 0001789643 · See Remarks Ledo Capital, LLC · CIK 0001789647 · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 910,576 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.775 to $3.92, 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 footnote (1) to this Form 4. F2 · ownership.nature: The shares are directly held by NP. The general partner of the Funds is NCP. The general partner of NCP is Ledo. The investment manager to the Funds is Newtyn Management. The managing member of Newtyn Management and Ledo and the portfolio manager to the Funds is Mr. Levy. Each of Newtyn Management, Ledo, NCP and Mr. Levy disclaims beneficial ownership of the shares except to the extent of its or his pecuniary interest therein, if any, and this report shall not be deemed an admission that it or he is the beneficial owner of such shares. Read SEC document |
| January 07, 2022 Filed Jan 10, 2022 16:05 UTC | MERRIMACK PHARMACEUTICALS INC MACK · Entity 95770 | PurchaseCommon Stock | 3,565 | $3.82 | $13,611.88 |
DisclosureSEC source: 0000899243-22-001470 · doc4.xml · nonDerivative · entry 2 Levy Noah G. · CIK 0001788608 · Director · See remarks Newtyn Management, LLC · CIK 0001569241 · See Remarks NEWTYN PARTNERS, LP · CIK 0001548707 · See Remarks NEWTYN TE PARTNERS, LP · CIK 0001548709 · See Remarks Newtyn Capital Partners, LP · CIK 0001789643 · See Remarks Ledo Capital, LLC · CIK 0001789647 · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 655,806 F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.75 to $3.96, 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 footnote (3) to this Form 4. F4 · ownership.nature: The shares are directly held Newtyn TE. The general partner of the Funds is NCP. The general partner of NCP is Ledo. The investment manager to the Funds is Newtyn Management. The managing member of Newtyn Management and Ledo and the portfolio manager to the Funds is Mr. Levy. Each of Newtyn Management, Ledo, NCP and Mr. Levy disclaims beneficial ownership of the shares except to the extent of its or his pecuniary interest therein, if any, and this report shall not be deemed an admission that it or he is the beneficial owner of such shares. Read SEC document |
| January 07, 2022 Filed Jan 10, 2022 16:05 UTC | MERRIMACK PHARMACEUTICALS INC MACK · Entity 95770 | PurchaseCommon Stock | 5,215 | $3.82 | $19,911.91 |
DisclosureSEC source: 0000899243-22-001470 · doc4.xml · nonDerivative · entry 1 Levy Noah G. · CIK 0001788608 · Director · See remarks Newtyn Management, LLC · CIK 0001569241 · See Remarks NEWTYN PARTNERS, LP · CIK 0001548707 · See Remarks NEWTYN TE PARTNERS, LP · CIK 0001548709 · See Remarks Newtyn Capital Partners, LP · CIK 0001789643 · See Remarks Ledo Capital, LLC · CIK 0001789647 · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 901,857 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.75 to $3.96, 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 footnote (1) to this Form 4. F2 · ownership.nature: The shares are directly held by NP. The general partner of the Funds is NCP. The general partner of NCP is Ledo. The investment manager to the Funds is Newtyn Management. The managing member of Newtyn Management and Ledo and the portfolio manager to the Funds is Mr. Levy. Each of Newtyn Management, Ledo, NCP and Mr. Levy disclaims beneficial ownership of the shares except to the extent of its or his pecuniary interest therein, if any, and this report shall not be deemed an admission that it or he is the beneficial owner of such shares. Read SEC document |
| November 19, 2021 Filed Nov 23, 2021 19:00 UTC | Flexion Therapeutics Inc FLXN · Entity 16545 | OtherCommon Stock, par value $0.001 per share | 5,900,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000905718-21-001529 · flexion_form4mov192021.xml · nonDerivative · entry 1 Newtyn Management, LLC · CIK 0001569241 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 F1 · price: Pursuant to the Agreement and Plan of Merger, dated as of October 11, 2021, by and among Flexion Therapeutics, Inc. ("Issuer"), Pacira BioSciences, Inc. and Oyster Acquisition Company Inc. ("Purchaser") ("Merger Agreement"), on November 19, 2021, Purchaser merged with and into Issuer, with Issuer continuing as the surviving corporation ("Merger"). At the effective time of the Merger, each share of Issuer's common stock was cancelled in exchange for (i) $8.50 per share in cash ("Cash Amount"), plus (ii) one non-transferable contractual contingent value right per share, which represent the right to receive one or more contingent payments of up to $8.00 per share in the aggregate, in cash, upon the achievement of specified milestones on or prior to December 31, 2030 ("CVR Payments"). Pursuant to the Merger Agreement, these shares were tendered and disposed of at the offer acceptance time in exchange for the right to receive (i) the Cash Amount, plus (ii) any CVR Payments. F2 · ownership.nature: The shares are held directly by Newtyn Partners, LP ("NP") and Newtyn TE Partners, LP ("NTE"). Newtyn Management, LLC, as the investment manager to NP and NTE, possesses the sole power to direct the vote and the sole power to direct the disposition of the securities held by NP and NTE. Newtyn Management, LLC disclaims beneficial ownership of such shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person, NP, NTE or any other person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| April 30, 2021 Filed May 4, 2021 00:10 UTC | Garrett Motion Inc. GTX · Entity 1720 | OtherCommon Stock | 1,802,095 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-21-017876 · doc4.xml · nonDerivative · entry 1 Newtyn Management, LLC · CIK 0001569241 · Member of 10% owner group NEWTYN PARTNERS, LP · CIK 0001548707 · Member of 10% owner group NEWTYN TE PARTNERS, LP · CIK 0001548709 · Member of 10% owner group Newtyn Capital Partners, LP · CIK 0001789643 · Member of 10% owner group Ledo Capital, LLC · CIK 0001789647 · Member of 10% owner group Levy Noah G. · CIK 0001788608 · Member of 10% owner group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 F1 · kind: On September 20, 2020, Garrett Motion Inc. (the "Issuer") and certain of its subsidiaries (collectively, the "Debtors") each filed a voluntary petition for relief under chapter 11 of title 11 of the United States Code (the "Bankruptcy Code") in the United States Bankruptcy Court for the Southern District of New York (the "Bankruptcy Court"). On April 26, 2021, the Debtors filed an amended Chapter 11 plan of reorganization (the "Plan") and on April 9, 2021, the Issuer filed a supplement to the Plan (as amended on April 20, 2021 and April 22, 2021, the "Plan Supplement") with the Bankruptcy Court. On April 26, 2021, the Bankruptcy Court entered an order confirming the Plan (the "Confirmation Order") and, on April 30, 2021 (the "Effective Date") the conditions to effectiveness of the Plan were satisfied or waived and the Issuer emerged from bankruptcy. F2 · kind: (Continued from footnote 1) On the Effective Date, all outstanding shares of the Issuer's common stock outstanding prior to the Effective Date were canceled, released, and extinguished, and of no further force or effect and without any need for a holder of such common stock to take further action with respect thereto. Accordingly, this Form 4 shall constitute an exit filing for the Reporting Persons with respect to the Issuer. F1 · price: On September 20, 2020, Garrett Motion Inc. (the "Issuer") and certain of its subsidiaries (collectively, the "Debtors") each filed a voluntary petition for relief under chapter 11 of title 11 of the United States Code (the "Bankruptcy Code") in the United States Bankruptcy Court for the Southern District of New York (the "Bankruptcy Court"). On April 26, 2021, the Debtors filed an amended Chapter 11 plan of reorganization (the "Plan") and on April 9, 2021, the Issuer filed a supplement to the Plan (as amended on April 20, 2021 and April 22, 2021, the "Plan Supplement") with the Bankruptcy Court. On April 26, 2021, the Bankruptcy Court entered an order confirming the Plan (the "Confirmation Order") and, on April 30, 2021 (the "Effective Date") the conditions to effectiveness of the Plan were satisfied or waived and the Issuer emerged from bankruptcy. F2 · price: (Continued from footnote 1) On the Effective Date, all outstanding shares of the Issuer's common stock outstanding prior to the Effective Date were canceled, released, and extinguished, and of no further force or effect and without any need for a holder of such common stock to take further action with respect thereto. Accordingly, this Form 4 shall constitute an exit filing for the Reporting Persons with respect to the Issuer. F3 · ownership.nature: Newtyn Partners, LP ("NP") and Newtyn TE Partners, LP ("NTE") directly held 1,117,299 and 684,796 shares, respectively, of common stock of the Issuer. Newtyn Management, LLC ("NM") is the investment manager of NP and NTE. Newtyn Capital Partners, LP ("NCP") is the general partner to each of NP and NTE. Ledo Capital, LLC ("Ledo") is the general partner to NCP. Mr. Noah Levy is managing member to NM. NP, NTE, NM, NCP, Ledo and Mr. Levy are collectively referred to as the "Reporting Persons." Read SEC document |
| January 08, 2021 Filed Jan 12, 2021 02:10 UTC | Garrett Motion Inc. GTX · Entity 1720 | PurchaseCommon Stock | 62,846 | $4.66 | $293,050.90 |
DisclosureSEC source: 0000899243-21-001417 · doc4.xml · nonDerivative · entry 5 Newtyn Management, LLC · CIK 0001569241 · Member of 10% owner group NEWTYN PARTNERS, LP · CIK 0001548707 · Member of 10% owner group NEWTYN TE PARTNERS, LP · CIK 0001548709 · Member of 10% owner group Newtyn Capital Partners, LP · CIK 0001789643 · Member of 10% owner group Ledo Capital, LLC · CIK 0001789647 · Member of 10% owner group Levy Noah G. · CIK 0001788608 · Member of 10% owner group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,802,095 F1 · ownership.nature: Newtyn Partners, LP ("NP") and Newtyn TE Partners, LP ("NTE") directly hold 1,117,299 and 684,796 shares, respectively, of common stock of Garrett Motion Inc. (the "Company"). Newtyn Management, LLC ("NM") is the investment manager of NP and NTE. Newtyn Capital Partners, LP ("NCP") is the general partner to each of NP and NTE. Ledo Capital, LLC ("Ledo") is the general partner to NCP. Mr. Noah Levy is managing member to NM. NP, NTE, NM, NCP, Ledo and Mr. Levy are collectively referred to as the "Reporting Persons." Read SEC document |
| January 07, 2021 Filed Jan 12, 2021 02:10 UTC | Garrett Motion Inc. GTX · Entity 1720 | PurchaseCommon Stock | 16,939 | $4.73 | $80,189.23 |
DisclosureSEC source: 0000899243-21-001417 · doc4.xml · nonDerivative · entry 4 Newtyn Management, LLC · CIK 0001569241 · Member of 10% owner group NEWTYN PARTNERS, LP · CIK 0001548707 · Member of 10% owner group NEWTYN TE PARTNERS, LP · CIK 0001548709 · Member of 10% owner group Newtyn Capital Partners, LP · CIK 0001789643 · Member of 10% owner group Ledo Capital, LLC · CIK 0001789647 · Member of 10% owner group Levy Noah G. · CIK 0001788608 · Member of 10% owner group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,739,249 F1 · ownership.nature: Newtyn Partners, LP ("NP") and Newtyn TE Partners, LP ("NTE") directly hold 1,117,299 and 684,796 shares, respectively, of common stock of Garrett Motion Inc. (the "Company"). Newtyn Management, LLC ("NM") is the investment manager of NP and NTE. Newtyn Capital Partners, LP ("NCP") is the general partner to each of NP and NTE. Ledo Capital, LLC ("Ledo") is the general partner to NCP. Mr. Noah Levy is managing member to NM. NP, NTE, NM, NCP, Ledo and Mr. Levy are collectively referred to as the "Reporting Persons." Read SEC document |
| January 06, 2021 Filed Jan 12, 2021 02:10 UTC | Garrett Motion Inc. GTX · Entity 1720 | PurchaseCommon Stock | 67,310 | $4.63 | $311,577.99 |
DisclosureSEC source: 0000899243-21-001417 · doc4.xml · nonDerivative · entry 3 Newtyn Management, LLC · CIK 0001569241 · Member of 10% owner group NEWTYN PARTNERS, LP · CIK 0001548707 · Member of 10% owner group NEWTYN TE PARTNERS, LP · CIK 0001548709 · Member of 10% owner group Newtyn Capital Partners, LP · CIK 0001789643 · Member of 10% owner group Ledo Capital, LLC · CIK 0001789647 · Member of 10% owner group Levy Noah G. · CIK 0001788608 · Member of 10% owner group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,722,310 F1 · ownership.nature: Newtyn Partners, LP ("NP") and Newtyn TE Partners, LP ("NTE") directly hold 1,117,299 and 684,796 shares, respectively, of common stock of Garrett Motion Inc. (the "Company"). Newtyn Management, LLC ("NM") is the investment manager of NP and NTE. Newtyn Capital Partners, LP ("NCP") is the general partner to each of NP and NTE. Ledo Capital, LLC ("Ledo") is the general partner to NCP. Mr. Noah Levy is managing member to NM. NP, NTE, NM, NCP, Ledo and Mr. Levy are collectively referred to as the "Reporting Persons." Read SEC document |
| January 04, 2021 Filed Jan 12, 2021 02:10 UTC | Garrett Motion Inc. GTX · Entity 1720 | SaleCommon Stock | 60,112 | $4.40 | $264,432.69 |
DisclosureSEC source: 0000899243-21-001417 · doc4.xml · nonDerivative · entry 2 Newtyn Management, LLC · CIK 0001569241 · Member of 10% owner group NEWTYN PARTNERS, LP · CIK 0001548707 · Member of 10% owner group NEWTYN TE PARTNERS, LP · CIK 0001548709 · Member of 10% owner group Newtyn Capital Partners, LP · CIK 0001789643 · Member of 10% owner group Ledo Capital, LLC · CIK 0001789647 · Member of 10% owner group Levy Noah G. · CIK 0001788608 · Member of 10% owner group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,655,000 F1 · ownership.nature: Newtyn Partners, LP ("NP") and Newtyn TE Partners, LP ("NTE") directly hold 1,117,299 and 684,796 shares, respectively, of common stock of Garrett Motion Inc. (the "Company"). Newtyn Management, LLC ("NM") is the investment manager of NP and NTE. Newtyn Capital Partners, LP ("NCP") is the general partner to each of NP and NTE. Ledo Capital, LLC ("Ledo") is the general partner to NCP. Mr. Noah Levy is managing member to NM. NP, NTE, NM, NCP, Ledo and Mr. Levy are collectively referred to as the "Reporting Persons." Read SEC document |
| January 04, 2021 Filed Jan 12, 2021 02:10 UTC | Garrett Motion Inc. GTX · Entity 1720 | PurchaseCommon Stock | 60,112 | $4.40 | $264,613.02 |
DisclosureSEC source: 0000899243-21-001417 · doc4.xml · nonDerivative · entry 1 Newtyn Management, LLC · CIK 0001569241 · Member of 10% owner group NEWTYN PARTNERS, LP · CIK 0001548707 · Member of 10% owner group NEWTYN TE PARTNERS, LP · CIK 0001548709 · Member of 10% owner group Newtyn Capital Partners, LP · CIK 0001789643 · Member of 10% owner group Ledo Capital, LLC · CIK 0001789647 · Member of 10% owner group Levy Noah G. · CIK 0001788608 · Member of 10% owner group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,715,112 F1 · ownership.nature: Newtyn Partners, LP ("NP") and Newtyn TE Partners, LP ("NTE") directly hold 1,117,299 and 684,796 shares, respectively, of common stock of Garrett Motion Inc. (the "Company"). Newtyn Management, LLC ("NM") is the investment manager of NP and NTE. Newtyn Capital Partners, LP ("NCP") is the general partner to each of NP and NTE. Ledo Capital, LLC ("Ledo") is the general partner to NCP. Mr. Noah Levy is managing member to NM. NP, NTE, NM, NCP, Ledo and Mr. Levy are collectively referred to as the "Reporting Persons." Read SEC document |
| December 01, 2020 Filed Dec 3, 2020 16:05 UTC | MERRIMACK PHARMACEUTICALS INC MACK · Entity 95770 | PurchaseCommon Stock | 12,417 | $4.00 | $49,656.82 |
DisclosureSEC source: 0000899243-20-032668 · doc4.xml · nonDerivative · entry 2 Levy Noah G. · CIK 0001788608 · Director · See remarks Newtyn Management, LLC · CIK 0001569241 · See Remarks NEWTYN PARTNERS, LP · CIK 0001548707 · See Remarks NEWTYN TE PARTNERS, LP · CIK 0001548709 · See Remarks Newtyn Capital Partners, LP · CIK 0001789643 · See Remarks Ledo Capital, LLC · CIK 0001789647 · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 652,241 F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.955 to $4.000, 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 footnote (3) to this Form 4. F4 · ownership.nature: The shares are directly held Newtyn TE. The general partner of the Funds is NCP. The general partner of NCP is Ledo. The investment manager to the Funds is Newtyn Management. The managing member of Newtyn Management and Ledo and the portfolio manager to the Funds is Mr. Levy. Each of Newtyn Management, Ledo, NCP and Mr. Levy disclaims beneficial ownership of the shares except to the extent of its or his pecuniary interest therein, if any, and this report shall not be deemed an admission that it or he is the beneficial owner of such shares. Read SEC document |
| December 01, 2020 Filed Dec 3, 2020 16:05 UTC | MERRIMACK PHARMACEUTICALS INC MACK · Entity 95770 | PurchaseCommon Stock | 17,359 | $4.00 | $69,420.38 |
DisclosureSEC source: 0000899243-20-032668 · doc4.xml · nonDerivative · entry 1 Levy Noah G. · CIK 0001788608 · Director · See remarks Newtyn Management, LLC · CIK 0001569241 · See Remarks NEWTYN PARTNERS, LP · CIK 0001548707 · See Remarks NEWTYN TE PARTNERS, LP · CIK 0001548709 · See Remarks Newtyn Capital Partners, LP · CIK 0001789643 · See Remarks Ledo Capital, LLC · CIK 0001789647 · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 896,642 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.955 to $4.000, 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 footnote (1) to this Form 4. F2 · ownership.nature: The shares are directly held by NP. The general partner of the Funds is NCP. The general partner of NCP is Ledo. The investment manager to the Funds is Newtyn Management. The managing member of Newtyn Management and Ledo and the portfolio manager to the Funds is Mr. Levy. Each of Newtyn Management, Ledo, NCP and Mr. Levy disclaims beneficial ownership of the shares except to the extent of its or his pecuniary interest therein, if any, and this report shall not be deemed an admission that it or he is the beneficial owner of such shares. Read SEC document |
| November 24, 2020 Filed Nov 27, 2020 16:05 UTC | MERRIMACK PHARMACEUTICALS INC MACK · Entity 95770 | PurchaseCommon Stock | 28,809 | $3.65 | $105,152.85 |
DisclosureSEC source: 0000899243-20-032258 · doc4.xml · nonDerivative · entry 2 Levy Noah G. · CIK 0001788608 · Director · See remarks Newtyn Management, LLC · CIK 0001569241 · See Remarks NEWTYN PARTNERS, LP · CIK 0001548707 · See Remarks NEWTYN TE PARTNERS, LP · CIK 0001548709 · See Remarks Newtyn Capital Partners, LP · CIK 0001789643 · See Remarks Ledo Capital, LLC · CIK 0001789647 · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 639,824 F2 · ownership.nature: The shares are directly held Newtyn TE. The general partner of the Funds is NCP. The general partner of NCP is Ledo. The investment manager to the Funds is Newtyn Management. The managing member of Newtyn Management and Ledo and the portfolio manager to the Funds is Mr. Levy. Each of Newtyn Management, Ledo, NCP and Mr. Levy disclaims beneficial ownership of the shares except to the extent of its or his pecuniary interest therein, if any, and this report shall not be deemed an admission that it or he is the beneficial owner of such shares. Read SEC document |
| November 24, 2020 Filed Nov 27, 2020 16:05 UTC | MERRIMACK PHARMACEUTICALS INC MACK · Entity 95770 | PurchaseCommon Stock | 40,278 | $3.65 | $147,014.70 |
DisclosureSEC source: 0000899243-20-032258 · doc4.xml · nonDerivative · entry 1 Levy Noah G. · CIK 0001788608 · Director · See remarks Newtyn Management, LLC · CIK 0001569241 · See Remarks NEWTYN PARTNERS, LP · CIK 0001548707 · See Remarks NEWTYN TE PARTNERS, LP · CIK 0001548709 · See Remarks Newtyn Capital Partners, LP · CIK 0001789643 · See Remarks Ledo Capital, LLC · CIK 0001789647 · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 879,283 F1 · ownership.nature: The shares are directly held by NP. The general partner of the Funds is NCP. The general partner of NCP is Ledo. The investment manager to the Funds is Newtyn Management. The managing member of Newtyn Management and Ledo and the portfolio manager to the Funds is Mr. Levy. Each of Newtyn Management, Ledo, NCP and Mr. Levy disclaims beneficial ownership of the shares except to the extent of its or his pecuniary interest therein, if any, and this report shall not be deemed an admission that it or he is the beneficial owner of such shares. Read SEC document |
| November 12, 2020 Filed Nov 16, 2020 16:05 UTC | MERRIMACK PHARMACEUTICALS INC MACK · Entity 95770 | PurchaseCommon Stock | 23,556 | $3.65 | $85,863.98 |
DisclosureSEC source: 0000899243-20-031115 · doc4.xml · nonDerivative · entry 2 Levy Noah G. · CIK 0001788608 · Director · See remarks Newtyn Management, LLC · CIK 0001569241 · See Remarks NEWTYN PARTNERS, LP · CIK 0001548707 · See Remarks NEWTYN TE PARTNERS, LP · CIK 0001548709 · See Remarks Newtyn Capital Partners, LP · CIK 0001789643 · See Remarks Ledo Capital, LLC · CIK 0001789647 · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 611,015 F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.60 to $3.65, 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 footnote (3) to this Form 4. F4 · ownership.nature: The shares are directly held Newtyn TE. The general partner of the Funds is NCP. The general partner of NCP is Ledo. The investment manager to the Funds is Newtyn Management. The managing member of Newtyn Management and Ledo and the portfolio manager to the Funds is Mr. Levy. Each of Newtyn Management, Ledo, NCP and Mr. Levy disclaims beneficial ownership of the shares except to the extent of its or his pecuniary interest therein, if any, and this report shall not be deemed an admission that it or he is the beneficial owner of such shares. Read SEC document |
| November 12, 2020 Filed Nov 16, 2020 16:05 UTC | MERRIMACK PHARMACEUTICALS INC MACK · Entity 95770 | PurchaseCommon Stock | 32,934 | $3.65 | $120,047.72 |
DisclosureSEC source: 0000899243-20-031115 · doc4.xml · nonDerivative · entry 1 Levy Noah G. · CIK 0001788608 · Director · See remarks Newtyn Management, LLC · CIK 0001569241 · See Remarks NEWTYN PARTNERS, LP · CIK 0001548707 · See Remarks NEWTYN TE PARTNERS, LP · CIK 0001548709 · See Remarks Newtyn Capital Partners, LP · CIK 0001789643 · See Remarks Ledo Capital, LLC · CIK 0001789647 · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 839,005 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.60 to $3.65, 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 footnote (1) to this Form 4. F2 · ownership.nature: The shares are directly held by NP. The general partner of the Funds is NCP. The general partner of NCP is Ledo. The investment manager to the Funds is Newtyn Management. The managing member of Newtyn Management and Ledo and the portfolio manager to the Funds is Mr. Levy. Each of Newtyn Management, Ledo, NCP and Mr. Levy disclaims beneficial ownership of the shares except to the extent of its or his pecuniary interest therein, if any, and this report shall not be deemed an admission that it or he is the beneficial owner of such shares. Read SEC document |
| September 30, 2020 Filed Oct 2, 2020 16:32 UTC | Pfenex Inc. PFNX · Entity 146052 | OtherCommon Stock, par value $0.001 per share | 3,850,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000905718-20-001023 · pfenex_fm4sept302020.xml · nonDerivative · entry 1 Newtyn Management, LLC · CIK 0001569241 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 F1 · price: Each share was tendered and sold to a wholly owned subsidiary of Ligand Pharmaceuticals Incorporated for (i) $12.00 per share, in cash, and (ii) a non-transferrable contractual right to receive a contingent payment of up to $2.00 in cash, if a specified milestone is achieved, without interest and less any applicable withholding taxes. F2 · ownership.nature: The shares are held directly by Newtyn Partners, LP ("NP") and Newtyn TE Partners, LP ("NTE"). Newtyn Management, LLC, as the investment manager to NP and NTE, possesses the sole power to direct the vote and the sole power to direct the disposition all investment and dispositive power over the securities held by NP and NTE. Newtyn Management, LLC disclaims beneficial ownership of such shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person, NP, NTE or any other person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| August 13, 2020 Filed Aug 17, 2020 16:05 UTC | MERRIMACK PHARMACEUTICALS INC MACK · Entity 95770 | PurchaseCommon Stock | 254 | $3.50 | $889.00 |
DisclosureSEC source: 0000899243-20-022561 · doc4.xml · nonDerivative · entry 2 Levy Noah G. · CIK 0001788608 · Director · See remarks Newtyn Management, LLC · CIK 0001569241 · See Remarks NEWTYN PARTNERS, LP · CIK 0001548707 · See Remarks NEWTYN TE PARTNERS, LP · CIK 0001548709 · See Remarks Newtyn Capital Partners, LP · CIK 0001789643 · See Remarks Ledo Capital, LLC · CIK 0001789647 · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 587,459 F2 · ownership.nature: The shares are directly held Newtyn TE. The general partner of the Funds is NCP. The general partner of NCP is Ledo. The investment manager to the Funds is Newtyn Management. The managing member of Newtyn Management and Ledo and the portfolio manager to the Funds is Mr. Levy. Each of Newtyn Management, Ledo, NCP and Mr. Levy disclaims beneficial ownership of the shares except to the extent of its or his pecuniary interest therein, if any, and this report shall not be deemed an admission that it or he is the beneficial owner of such shares. Read SEC document |
| August 13, 2020 Filed Aug 17, 2020 16:05 UTC | MERRIMACK PHARMACEUTICALS INC MACK · Entity 95770 | PurchaseCommon Stock | 354 | $3.50 | $1,239.00 |
DisclosureSEC source: 0000899243-20-022561 · doc4.xml · nonDerivative · entry 1 Levy Noah G. · CIK 0001788608 · Director · See remarks Newtyn Management, LLC · CIK 0001569241 · See Remarks NEWTYN PARTNERS, LP · CIK 0001548707 · See Remarks NEWTYN TE PARTNERS, LP · CIK 0001548709 · See Remarks Newtyn Capital Partners, LP · CIK 0001789643 · See Remarks Ledo Capital, LLC · CIK 0001789647 · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 806,071 F1 · ownership.nature: The shares are directly held by NP. The general partner of the Funds is NCP. The general partner of NCP is Ledo. The investment manager to the Funds is Newtyn Management. The managing member of Newtyn Management and Ledo and the portfolio manager to the Funds is Mr. Levy. Each of Newtyn Management, Ledo, NCP and Mr. Levy disclaims beneficial ownership of the shares except to the extent of its or his pecuniary interest therein, if any, and this report shall not be deemed an admission that it or he is the beneficial owner of such shares. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.