Form Type: 4

SEC EDGAR Link
Accession Number:0001209191-21-060004
Date:2021-10-06
Issuer: EQUILLIUM, INC. (EQ)
Original Submission Date:

Reporting Person:

CONNELLY STEPHEN
2223 AVENIDA DE LA PLAYA
SUITE 105 LA JOLLA, CA 92037

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 2021-10-06 M 5,625 a $4.75 998,625 direct
COMMON STOCK 2021-10-06 S 5,625 d $7.01 993,000 direct
COMMON STOCK 2021-10-06 M 2,467 a $2.80 995,467 direct
COMMON STOCK 2021-10-06 S 2,467 d $7.01 993,000 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
EMPLOYEE STOCK OPTION (RIGHT TO BUY) 4.75 2021-10-06 deemed execution date M 5,625 (d) 2020-12-10 2029-12-09 common stock 5,625 $4.75 0 direct
EMPLOYEE STOCK OPTION (RIGHT TO BUY) 2.8 2021-10-06 deemed execution date M 2,467 (d) 2021-05-19 2030-05-18 common stock 2,467 $2.80 0 direct
Footnotes
IDfootnote
f1 the transactions reported on this form were effected pursuant to a 10b5-1 trading plan adopted by the filer on march 31, 2021.
f2 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $7.05 to $7.00, inclusive. the reporting person undertakes to provide to 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 ranges set forth in this form 4.
f3 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $7.06 to $7.00, inclusive. the reporting person undertakes to provide to 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 ranges set forth in this form 4.
f4 this option, representing a right to purchase twenty-five percent of the shares subject to the grant, became exercisable on december 10, 2020, which was the first anniversary of the date on which the option was granted, the remaining portion of this option vests in 36 equal monthly installments thereafter.
f5 this option, representing a right to purchase twenty-five percent of the shares subject to the grant, became exercisable on may 19, 2021, which was the first anniversary of the date on which the option was granted, the remaining portion of this option vests in 36 equal monthly installments thereafter.
WhaleWisdom Logo

Elevate your investments