DYNAVAX TECHNOLOGIES CORP Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 33 rows, 33 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2021-08-24: Reporting owner CANO FRANCIS; Form 4; Security Warrant (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2021-08-23: Reporting owner Novack David F; Form 4; Security Warrant (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2021-08-23: Reporting owner Phillips Peggy V; Form 4; Security Warrant (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2021-06-10: Reporting owner Hack Andrew A. F.; Form 4; Security Warrants (Right to Buy); Transaction S Open market or private sale of non-derivative or derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2021-08-24 | CANO FRANCIS Director | 4 | Warrant (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,167 0 owned after | $4.50 exercise price | 2021-08-25 | |
| 2021-08-23 | Novack David F Officer (President & COO) | 4 | Warrant (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,167 0 owned after | $4.50 exercise price | 2021-08-25 | |
| 2021-08-23 | Phillips Peggy V Director | 4 | Warrant (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,166 0 owned after | $4.50 exercise price | 2021-08-25 | |
| 2021-06-10 | Hack Andrew A. F. Director | 4 | Warrants (Right to Buy) Derivative · Indirect · See footnotes | S Open market or private sale of non-derivative or derivative security | −2,916,250 0 owned after | $4.50 exercise price | 2021-06-11 | |
| 2019-08-22 holding as of filing | Hack Andrew A. F. Director | 3 | Warrants (Right to Buy) Derivative · Indirect · See Footnotes | Holding | $4.50 exercise price | 2019-08-22 | ||
| 2019-08-12 | Phillips Peggy V Director | 4 | Warrant (Right to Buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +4,166 4,166 owned after | $4.50 exercise price | 2019-08-12 | |
| 2019-08-12 | CANO FRANCIS Director | 4 | Warrant (Right to Buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +4,167 4,167 owned after | $4.50 exercise price | 2019-08-12 | |
| 2019-08-12 | Novack David F Officer (Co-President and Senior VP) | 4 | Warrant (Right to Buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +4,167 4,167 owned after | $4.50 exercise price | 2019-08-12 | |
| 2010-04-16 | KESSEL MARK Director, 10% Owner | 4 | Common Stock Warrant (Right to Buy) Derivative · Indirect · See Footnote | J Other acquisition or disposition (describe transaction) | −1,283,200 0 owned after | $1.94 exercise price | 2010-04-20 | |
| 2010-04-16 | KESSEL MARK Director, 10% Owner | 4 | Common Stock Warrant (Right to Buy) Derivative · Indirect · See Footnote | J Other acquisition or disposition (describe transaction) | +9,031,434 9,031,434 owned after | $1.50 exercise price | 2010-04-20 | |
| 2010-04-16 | SYMPHONY CAPITAL GP, L.P. | SYMPHONY GP, LLC | SYMPHONY STRATEGIC PARTNERS LLC | TARANTO HARRI V | Symphony Capital Partners LP Director | Director | Director | Director | Director | 4 | Common Stock Warrant (right to buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | −1,283,200 0 owned after | $1.94 exercise price | 2010-04-20 | |
| 2010-04-16 | SYMPHONY CAPITAL GP, L.P. | SYMPHONY GP, LLC | SYMPHONY STRATEGIC PARTNERS LLC | TARANTO HARRI V | Symphony Capital Partners LP Director | Director | Director | Director | Director | 4 | Common Stock Warrant (right to buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +9,031,434 9,031,434 owned after | $1.50 exercise price | 2010-04-20 | |
| 2010-04-13 | DINA DINO Director, Officer (President, CEO and Director) | 4 | Common Stock Warrant (Right to Buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +35,000 35,000 owned after | $1.50 exercise price | 2010-04-15 | |
| 2010-01-11 holding as of filing | Symphony Capital Partners LP | SYMPHONY GP, LLC | SYMPHONY CAPITAL GP, L.P. | SYMPHONY STRATEGIC PARTNERS LLC | TARANTO HARRI V Director | Director | Director | Director | Director | 3 | Common Stock Warrant (right to buy) Derivative · Direct | Holding | $1.94 exercise price | 2010-01-11 | ||
| 2010-01-04 holding as of filing | KESSEL MARK Director, 10% Owner | 3 | Common Stock Warrant (right to buy) Derivative · Indirect · See Footnote | Holding | $1.94 exercise price | 2010-01-04 | ||
| 2007-12-27 | DEERFIELD MANAGEMENT CO /NY | Flynn James E | Deerfield Private Design International, L.P. | Deerfield Special Situations Fund, L.P. | DEERFIELD CAPITAL LP | Deerfield Special Situations Fund International LTD | DEERFIELD PRIVATE DESIGAN FUND L P 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrants Derivative · Indirect · Through Deerfield Private Design Fund, L.P. | P Open market or private purchase of non-derivative or derivative security | +314,200 314,200 owned after | $5.65 exercise price | 2008-06-30 | |
| 2007-12-27 | DEERFIELD MANAGEMENT CO /NY | Flynn James E | Deerfield Private Design International, L.P. | Deerfield Special Situations Fund, L.P. | DEERFIELD CAPITAL LP | Deerfield Special Situations Fund International LTD | DEERFIELD PRIVATE DESIGAN FUND L P 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrants Derivative · Indirect · Through Deerfield Private Design International, L.P. | P Open market or private purchase of non-derivative or derivative security | +519,200 519,200 owned after | $5.65 exercise price | 2008-06-30 | |
| 2007-12-27 | DEERFIELD MANAGEMENT CO /NY | Flynn James E | Deerfield Private Design International, L.P. | Deerfield Special Situations Fund, L.P. | DEERFIELD CAPITAL LP | Deerfield Special Situations Fund International LTD | DEERFIELD PRIVATE DESIGAN FUND L P 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrants Derivative · Indirect · Through Deerfield Special Situations Fund, L.P. | P Open market or private purchase of non-derivative or derivative security | +61,300 61,300 owned after | $5.65 exercise price | 2008-06-30 | |
| 2007-12-27 | DEERFIELD MANAGEMENT CO /NY | Flynn James E | Deerfield Private Design International, L.P. | Deerfield Special Situations Fund, L.P. | DEERFIELD CAPITAL LP | Deerfield Special Situations Fund International LTD | DEERFIELD PRIVATE DESIGAN FUND L P 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrants Derivative · Indirect · Through Deerfield Special Situations International Limited | P Open market or private purchase of non-derivative or derivative security | +105,300 105,300 owned after | $5.65 exercise price | 2008-06-30 | |
| 2007-10-18 | DEERFIELD PRIVATE DESIGAN FUND L P | Deerfield Private Design International, L.P. | DEERFIELD MANAGEMENT CO /NY | Flynn James E | DEERFIELD CAPITAL LP | Deerfield Special Situations Fund International LTD | Deerfield Special Situations Fund, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrants Derivative · Indirect · Through Deerfield Private Design Fund, L.P. | P Open market or private purchase of non-derivative or derivative security | +408,460 408,460 owned after | $5.75 exercise price | 2007-11-01 | |
| 2007-10-18 | DEERFIELD PRIVATE DESIGAN FUND L P | Deerfield Private Design International, L.P. | DEERFIELD MANAGEMENT CO /NY | Flynn James E | DEERFIELD CAPITAL LP | Deerfield Special Situations Fund International LTD | Deerfield Special Situations Fund, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrants Derivative · Indirect · Through Deerfield Private Design International, L.P. | P Open market or private purchase of non-derivative or derivative security | +674,960 674,960 owned after | $5.75 exercise price | 2007-11-01 | |
| 2007-10-18 | DEERFIELD PRIVATE DESIGAN FUND L P | Deerfield Private Design International, L.P. | DEERFIELD MANAGEMENT CO /NY | Flynn James E | DEERFIELD CAPITAL LP | Deerfield Special Situations Fund International LTD | Deerfield Special Situations Fund, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrants Derivative · Indirect · Through Deerfield Special Situations Fund, L.P. | P Open market or private purchase of non-derivative or derivative security | +79,960 79,960 owned after | $5.75 exercise price | 2007-11-01 | |
| 2007-10-18 | DEERFIELD PRIVATE DESIGAN FUND L P | Deerfield Private Design International, L.P. | DEERFIELD MANAGEMENT CO /NY | Flynn James E | DEERFIELD CAPITAL LP | Deerfield Special Situations Fund International LTD | Deerfield Special Situations Fund, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrants Derivative · Indirect · Through Deerfield Special Situations International Limited | P Open market or private purchase of non-derivative or derivative security | +136,890 136,890 owned after | $5.75 exercise price | 2007-11-01 | |
| 2007-07-30 holding as of filing | Deerfield Private Design International, L.P. 10% Owner | 3 | Warrants Derivative · Direct | Holding | $5.13 exercise price | 2007-07-30 | ||
| 2007-07-30 holding as of filing | DEERFIELD PRIVATE DESIGAN FUND L P 10% Owner | 3 | Warrants Derivative · Direct | Holding | $5.13 exercise price | 2007-07-30 | ||
| 2007-07-18 | DEERFIELD PRIVATE DESIGAN FUND L P | Deerfield Special Situations Fund International LTD | Deerfield Special Situations Fund, L.P. | Deerfield Private Design International, L.P. | DEERFIELD CAPITAL LP | DEERFIELD MANAGEMENT CO /NY | Flynn James E 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4/A | Warrants Derivative · Indirect · Through Deerfield Private Design Fund, L.P. | P Open market or private purchase of non-derivative or derivative security | +392,750 392,750 owned after | $5.13 exercise price | 2007-07-23 | |
| 2007-07-18 | DEERFIELD PRIVATE DESIGAN FUND L P | Deerfield Special Situations Fund International LTD | Deerfield Special Situations Fund, L.P. | Deerfield Private Design International, L.P. | DEERFIELD CAPITAL LP | DEERFIELD MANAGEMENT CO /NY | Flynn James E 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4/A | Warrants Derivative · Indirect · Through Deerfield Private Design International, L.P. | P Open market or private purchase of non-derivative or derivative security | +649,000 649,000 owned after | $5.13 exercise price | 2007-07-23 | |
| 2007-07-18 | DEERFIELD PRIVATE DESIGAN FUND L P | Deerfield Special Situations Fund International LTD | Deerfield Special Situations Fund, L.P. | Deerfield Private Design International, L.P. | DEERFIELD CAPITAL LP | DEERFIELD MANAGEMENT CO /NY | Flynn James E 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4/A | Warrants Derivative · Indirect · Through Deerfield Special Situations Fund, L.P. | P Open market or private purchase of non-derivative or derivative security | +76,625 76,625 owned after | $5.13 exercise price | 2007-07-23 | |
| 2007-07-18 | DEERFIELD PRIVATE DESIGAN FUND L P | Deerfield Special Situations Fund International LTD | Deerfield Special Situations Fund, L.P. | Deerfield Private Design International, L.P. | DEERFIELD CAPITAL LP | DEERFIELD MANAGEMENT CO /NY | Flynn James E 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4/A | Warrants Derivative · Indirect · Through Deerfield Special Situations International Limited | P Open market or private purchase of non-derivative or derivative security | +131,625 131,625 owned after | $5.13 exercise price | 2007-07-23 | |
| 2007-07-18 | DEERFIELD MANAGEMENT CO /NY | Deerfield Special Situations Fund International LTD | DEERFIELD CAPITAL LP | Flynn James E | DEERFIELD PRIVATE DESIGAN FUND L P | Deerfield Special Situations Fund, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrants Derivative · Indirect · Through Deerfield Private Design Fund, L.P. | P Open market or private purchase of non-derivative or derivative security | +392,750 392,750 owned after | $5.13 exercise price | 2007-07-20 | |
| 2007-07-18 | DEERFIELD MANAGEMENT CO /NY | Deerfield Special Situations Fund International LTD | DEERFIELD CAPITAL LP | Flynn James E | DEERFIELD PRIVATE DESIGAN FUND L P | Deerfield Special Situations Fund, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrants Derivative · Indirect · Through Deerfield Private Design International, L.P. | P Open market or private purchase of non-derivative or derivative security | +649,000 649,000 owned after | $5.13 exercise price | 2007-07-20 | |
| 2007-07-18 | DEERFIELD MANAGEMENT CO /NY | Deerfield Special Situations Fund International LTD | DEERFIELD CAPITAL LP | Flynn James E | DEERFIELD PRIVATE DESIGAN FUND L P | Deerfield Special Situations Fund, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrants Derivative · Indirect · Through Deerfield Special Situations Fund, L.P. | P Open market or private purchase of non-derivative or derivative security | +76,625 76,625 owned after | $5.13 exercise price | 2007-07-20 | |
| 2007-07-18 | DEERFIELD MANAGEMENT CO /NY | Deerfield Special Situations Fund International LTD | DEERFIELD CAPITAL LP | Flynn James E | DEERFIELD PRIVATE DESIGAN FUND L P | Deerfield Special Situations Fund, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrants Derivative · Indirect · Through Deerfield Special Situations International Limited | P Open market or private purchase of non-derivative or derivative security | +131,625 131,625 owned after | $5.13 exercise price | 2007-07-20 |