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Signature
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/s/ David Novack
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Stock symbol
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DVAX
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Transactions as of
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Nov 3, 2023
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Transactions value $
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-$191,600
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Form type
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4
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Date filed
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11/7/2023, 05:16 PM
Transactions Table
| Type |
Sym |
Class |
Transaction |
Value $ |
Shares |
Change % |
* Price $ |
Shares After |
Date |
Ownership |
Footnotes |
| transaction |
DVAX |
Common Stock |
Options Exercise |
$108K |
+20K |
+627.55% |
$5.42 |
23.2K |
Nov 3, 2023 |
Direct |
F1 |
| transaction |
DVAX |
Common Stock |
Sale |
-$300K |
-20K |
-86.26% |
$15.00 |
3.19K |
Nov 3, 2023 |
Direct |
F1 |
Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)
| Type |
Sym |
Class |
Transaction |
Value $ |
Shares |
Change % |
* Price $ |
Shares After |
Date |
Underlying Class |
Amount |
Exercise Price |
Ownership |
Footnotes |
| transaction |
DVAX |
Stock Option (Right to Buy) |
Options Exercise |
|
-20K |
-40.82% |
|
29K |
Nov 3, 2023 |
Common Stock |
20K |
$5.42 |
Direct |
F1, F2, F3 |
* An asterisk sign (*) next to the price indicates that the price is likely invalid.
Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.
Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).
Explanation of Responses: