GREGORY L. WEAVER - 02 Jul 2021 Form 4 Insider Report for ATOSSA THERAPEUTICS, INC. (ATOS)

Role
Director
Signature
/s/ Gregory L. Weaver
Issuer symbol
ATOS
Transactions as of
02 Jul 2021
Net transactions value
-$599,834
Form type
4
Filing time
07 Jul 2021, 16:29:44 UTC
Previous filing
24 Jun 2021
Next filing
04 Mar 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ATOS Common Stock Options Exercise $25,837 +4,581 $5.64 4,581 02 Jul 2021 Direct
transaction ATOS Common Stock Options Exercise $107,100 +45,000 +982% $2.38 49,581 02 Jul 2021 Direct
transaction ATOS Common Stock Options Exercise $113,400 +45,000 +91% $2.52 94,581 02 Jul 2021 Direct
transaction ATOS Common Stock Options Exercise $119,000 +70,000 +74% $1.70 164,581 02 Jul 2021 Direct
transaction ATOS Common Stock Tax liability $365,338 -57,084 -35% $6.40 107,497 02 Jul 2021 Direct F1
transaction ATOS Common Stock Sale $599,833 -107,497 -100% $5.58 0 02 Jul 2021 Direct F2

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 ATOS Stock Option (right to buy) Options Exercise $0 -4,581 -100% $0.000000* 0 02 Jul 2021 Common Stock 4,581 $5.64 Direct F3
transaction ATOS Stock Option (right to buy) Options Exercise $0 -45,000 -100% $0.000000* 0 02 Jul 2021 Common Stock 45,000 $2.38 Direct F4
transaction ATOS Stock Option (right to buy) Options Exercise $0 -45,000 -100% $0.000000* 0 02 Jul 2021 Common Stock 45,000 $2.52 Direct F5
transaction ATOS Stock Option (right to buy) Options Exercise $0 -70,000 -100% $0.000000* 0 02 Jul 2021 Common Stock 70,000 $1.70 Direct F6
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Reflects the Nasdaq closing price of the Issuer's common stock on July 01, 2021.
F2 Reflects the weighted average sale price. The range of prices for such transaction is $5.51 to $5.65. Open market sale transactions were made on the same day at different prices through a trade order executed by a broker-dealer. The reporting person has reported on a single line all such transactions that occurred within a one dollar price range. The reporting person hereby undertakes to provide upon request by the Securities and Exchange Commission staff, the issuer or a shareholder of the issuer, full information regarding the number of shares sold at each separate price.
F3 These options were granted on May 24, 2017, vested on a quarterly basis over 12 months and expire 10 years from the grant date.
F4 These options were granted on June 27, 2018, vested on a quarterly basis over 12 months and expire 10 years from the grant date.
F5 These options were granted on May 17, 2019, vested on a quarterly basis over 12 months and expire 10 years from the grant date.
F6 These options were granted on May 15, 2020, vested on a quarterly basis over 12 months and expire 10 years from the grant date.