Carlyle Group Inc. - 17 Aug 2022 Form 4 Insider Report for Vera Therapeutics, Inc. (VERA)

Source evidence Original filing metadata and source links for verification. 5 source fields
SEC form
4
Accepted by SEC
19 Aug 2022, 16:39:43 UTC
Prior SEC filing
17 Aug 2022
Next SEC filing
03 Jan 2023
Source filing
View source filing
Reporting owner 1 detail
Reporting owner signature
The Carlyle Group Inc., By: /s/ Anne Frederick, Attorney-in-fact for Curtis L. Buser, Chief Financial Officer

Key filing fact

Carlyle Group Inc. filed Form 4 for Vera Therapeutics, Inc. (VERA) on 19 Aug 2022.

Key facts

  • This page summarizes Carlyle Group Inc.'s Form 4 filing for Vera Therapeutics, Inc. (VERA).
  • 5 reported transactions and 1 derivative row are listed below.
  • Accepted by SEC: 19 Aug 2022, 16:39.

Change

  • Previous filing in this sequence was filed on 17 Aug 2022.
  • Current net transaction value: -$91,851.

Research use

  • This tells you what this filing adds before you inspect full transaction and derivative tables.
  • You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

VERA transaction

Class A Common Stock

Options Exercise

Transaction value
$109,175
Shares
+9,925
Change %
+0.34%
Price
$11.00
Shares after
2,970,156
Date
17 Aug 2022
Ownership
See footnotes
Footnotes
F1, F2
VERA transaction

Class A Common Stock

Sale

Transaction value
$65,242
Shares
-3,281
Change %
-0.11%
Price
$19.88
Shares after
2,966,875
Date
17 Aug 2022
Ownership
See footnotes
Footnotes
F1, F2, F3
VERA transaction

Class A Common Stock

Sale

Transaction value
$132,159
Shares
-6,472
Change %
-0.22%
Price
$20.42
Shares after
2,960,403
Date
17 Aug 2022
Ownership
See footnotes
Footnotes
F1, F2, F4
VERA transaction

Class A Common Stock

Sale

Transaction value
$3,625
Shares
-172
Change %
-0.01%
Price
$21.07
Shares after
2,960,231
Date
17 Aug 2022
Ownership
See footnotes
Footnotes
F1, F2, F5

Reported derivative securities

Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.

VERA transaction Derivative

Stock Option (right to buy)

Options Exercise

Transaction value
$0
Shares
-9,925
Change %
-100%
Price
$0.000000*
Shares after
0
Date
17 Aug 2022
Ownership
See footnotes
Underlying class
Class A Common Stock
Underlying amount
9,925
Exercise price
$11.00
Footnotes
F1, F2, F6, F7
* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 7 footnotes

Footnote F1

Reflects securities held of record by Abingworth Bioventures 8 LP ("ABV 8"). ABV 8 has delegated to Abingworth LLP all investment and dispositive power over the securities held of record by ABV 8.

Footnote F2

The Carlyle Group Inc., which is a publicly traded entity listed on Nasdaq, is the sole shareholder of Carlyle Holdings I GP Inc., which is the sole member of Carlyle Holdings I GP Sub L.L.C., which is the general partner of Carlyle Holdings I L.P., which, with respect to the securities reported herein, is the managing member of CG Subsidiary Holdings L.L.C., which is the managing member of TC Group, L.L.C., which is the managing member of Carlyle Investment Management, L.L.C., which is the sole member of Carlyle Genesis UK LLC, which is the principal member of Abingworth LLP. Accordingly, each of the foregoing entities may be deemed to share beneficial ownership of the securities held of record by ABV 8, but each disclaims beneficial ownership of such securities.

Footnote F3

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.74 to $19.995. The reporting person undertakes to provide 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 range set forth in this footnote.

Footnote F4

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.00 to $20.99. The reporting person undertakes to provide 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 range set forth in this footnote.

Footnote F5

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.025 to $21.09. The reporting person undertakes to provide 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 range set forth in this footnote.

Footnote F6

The stock option is fully vested and exercisable.

Footnote F7

Under an agreement between Kurt von Emster and Abingworth LLP, Mr. von Emster is deemed to hold the stock option and any shares of Class A Common Stock issuable upon exercise of the stock option for the benefit of ABV 8, and must exercise the stock option solely upon the direction of Abingworth LLP.

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