Societal CDMO, Inc. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 3 rows, 3 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2024-04-08: Reporting owner Arens Mathew Paul | First Light Asset Management, LLC; Form 4; Security Pre-Funded Warrant (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2023-08-24: Reporting owner AWM Investment Company, Inc.; Form 4; Security Warrants; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2023-08-24: Reporting owner First Light Asset Management, LLC | Arens Mathew Paul; Form 4; Security Pre-Funded Warrant (right to buy); Transaction P Open market or private purchase of non-derivative or derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2024-04-08 | Arens Mathew Paul | First Light Asset Management, LLC Director, 10% Owner | Director, 10% Owner | 4 | Pre-Funded Warrant (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −1,250,000 0 owned after | no price filed | 2024-04-08 | |
| 2023-08-24 | AWM Investment Company, Inc. 10% Owner | 4 | Warrants Derivative · Indirect · By Limited Partnership | P Open market or private purchase of non-derivative or derivative security | +4,860,000 4,860,000 owned after | $0.40 | 2023-08-28 | |
| 2023-08-24 | First Light Asset Management, LLC | Arens Mathew Paul Director, 10% Owner | Director, 10% Owner | 4 | Pre-Funded Warrant (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +1,250,000 125,000 owned after | $0.40 | 2023-08-25 |