Joel Rothman - 02 Jan 2024 Form 4 Insider Report for Equillium, Inc. (EQ)

Reporting relationship: Chief Development Officer
Issuer ticker: EQ
Reported as of: 02 Jan 2024
Net transaction value: +$13,506
SEC form: 4
Accepted by SEC: 03 Jan 2024, 18:14:08 UTC
Prior SEC filing: 04 Jan 2023
Source filing: View source filing
Reporting owner signature: /s/ Jason A. Keyes, Attorney-in-Fact for Joel Rothman

Key filing fact

Joel Rothman filed Form 4 for Equillium, Inc. (EQ) on 03 Jan 2024.

Key facts

This page summarizes Joel Rothman's Form 4 filing for Equillium, Inc. (EQ).
3 reported transactions and 1 derivative row are listed below.
Accepted by SEC: 03 Jan 2024, 18:14.

Change

Previous filing in this sequence was filed on 04 Jan 2023.
Current net transaction value: +$13,506.

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.

EQ transaction

Common Stock

Award

Transaction value: $8,400
Shares: +15,000
Change %: +44%
Price: $0.5600
Shares after: 49,346
Date: 09 Jun 2023
Ownership: Direct
Footnotes: F1

EQ transaction

Common Stock

Award

Transaction value: $5,106
Shares: +8,804
Change %: +18%
Price: $0.5800
Shares after: 58,150
Date: 08 Dec 2023
Ownership: Direct
Footnotes: F1

Reported derivative securities

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

EQ transaction Derivative

Employee Stock Option (right to buy)

Award

Transaction value: $0
Shares: +175,000
Change %
Price: $0.000000
Shares after: 175,000
Date: 02 Jan 2024
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 175,000
Exercise price: $0.7300
Footnotes: F2

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 2 footnotes

Footnote F1

These shares were acquired by the Reporting Person under the Issuer's 2018 Employee Stock Purchase Plan in transactions that were exempt under both Rule 16b-3(d) and Rule 16b-3(c).

Footnote F2

Twenty-five percent of the shares subject to the option vests on the first anniversary of the vesting commencement date, and the remainder vests in 36 equal monthly installments thereafter for the following three years.