Form Type: 4

SEC EDGAR Link
Accession Number:0000899243-21-010223
Date:2020-08-03
Issuer: BERKELEY LIGHTS, INC. (BLI)
Original Submission Date:

Reporting Person:

ROTHMAN JAMES
5858 HORTON STREET, SUITE 320
EMERYVILLE, CA 94608

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2020-08-03 M 125,000 a $2.50 125,000 direct
COMMON STOCK 2020-08-03 M 250,000 a $2.54 375,000 direct
COMMON STOCK 2021-03-03 S 52,245 d $60.06 322,755 direct
COMMON STOCK 2021-03-03 S 13,711 d $60.81 309,044 direct
COMMON STOCK 2021-03-03 S 6,044 d $60.03 303,000 direct
COMMON STOCK 2021-03-04 S 2,254 d $54.20 300,746 direct
COMMON STOCK 2021-03-04 S 1,901 d $57.26 298,845 direct
COMMON STOCK 2021-03-04 S 11,152 d $53.23 287,693 direct
COMMON STOCK 2021-03-04 S 8,848 d $53.85 278,845 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
STOCK OPTION 2.5 2020-08-03 deemed execution date M 125,000 (d) 2026-05-01 common stock 125,000 $2.50 125,000 direct
STOCK OPTION 2.54 2020-08-03 deemed execution date M 250,000 (d) 2027-04-13 common stock 250,000 $2.54 375,000 direct
Footnotes
IDfootnote
f1 the price reported in column 4 is a weighted-average price. these shares were sold in multiple transactions at prices ranging from $59.50 to $60.50. the reporting person undertakes to provide berkeley lights, inc. (the "company"), any security holder of the company, 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.
f2 the price reported in column 4 is a weighted-average price. these shares were sold in multiple transactions at prices ranging from $60.51 to $61.50. the reporting person undertakes to provide the company, any security holder of the company, 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.
f3 the price reported in column 4 is a weighted-average price. these shares were sold in multiple transactions at prices ranging from $61.58 to $62.355. the reporting person undertakes to provide the company, any security holder of the company, 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.
f4 the price reported in column 4 is a weighted-average price. these shares were sold in multiple transactions at prices ranging from $54.04 to $54.43. the reporting person undertakes to provide the company, any security holder of the company, 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.
f5 the price reported in column 4 is a weighted-average price. these shares were sold in multiple transactions at prices ranging from $57.00 to $57.58. the reporting person undertakes to provide the company, any security holder of the company, 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.
f6 the price reported in column 4 is a weighted-average price. these shares were sold in multiple transactions at prices ranging from $52.72 to $53.71. the reporting person undertakes to provide the company, any security holder of the company, 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.
f7 the price reported in column 4 is a weighted-average price. these shares were sold in multiple transactions at prices ranging from $53.74 to $53.94. the reporting person undertakes to provide the company, any security holder of the company, 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.
f8 the stock option is fully vested.
f9 the stock option is fully vested.

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