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Extract to table / section-16-form-4-memo.docx
section-16-form-4-memo.docx
Parties
HARKNESS LLP
Penterra Pharmaceuticals Corp
Castellano Family Holdings LLC
CFH LLC
Garza LLP
The Offering Penterra Pharmaceuticals Corp
Ridgeline Securities LLC
Broadmark Capital Inc
Dates
October 13, 2023
October 12, 2023
October 17, 2023
October 16, 2023
October 15, 2023
November 11, 2023
April 17, 2023
August 22, 2023
November 16, 2023
October 14, 2023
Amounts
$260,000,000
$0.001
$41.60
$40.56
$1.04
$253,500,000
$124,800,000
$104,000,000
$20,800,000
$249,600,000
Obligations
Under Rule 16a-3(g) of the Exchange Act, as amended by the Sarbanes-Oxley Act of 2002, Form 4 must be filed with the SEC before the end of the second business day following the day on which the subject transaction was executed
All Section 16(a) filings must be made electronically via the SEC's EDGAR (Electronic Data Gathering, Analysis, and Retrieval) system
Applied to the facts at hand, if any of the three individual reporting persons has or shares voting power or investment power with respect to the PPC shares held by CFH LLC, then CFH LLC's shares — and any dispositions of those shares — must be reported on that individual's Form 4 as indirectly beneficially owned securities
Riccardo Castellano are each deemed beneficial owners of the PPC shares held by CFH LLC by virtue of their shared voting and investment control, and the dispositions of CFH LLC's shares must be reported on their respective Form 4 filings
All filings must be submitted via EDGAR before 10:00 p