0001683168-21-006440.txt : 20211216 0001683168-21-006440.hdr.sgml : 20211216 20211216213445 ACCESSION NUMBER: 0001683168-21-006440 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211214 FILED AS OF DATE: 20211216 DATE AS OF CHANGE: 20211216 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SARGEN GREGORY CENTRAL INDEX KEY: 0001227835 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32839 FILM NUMBER: 211499374 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Avid Bioservices, Inc. CENTRAL INDEX KEY: 0000704562 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 953698422 STATE OF INCORPORATION: DE FISCAL YEAR END: 0430 BUSINESS ADDRESS: STREET 1: 2642 MICHELLE DRIVE, SUITE 200 CITY: TUSTIN STATE: CA ZIP: 92780 BUSINESS PHONE: 714.508.6100 MAIL ADDRESS: STREET 1: 2642 MICHELLE DRIVE, SUITE 200 CITY: TUSTIN STATE: CA ZIP: 92780 FORMER COMPANY: FORMER CONFORMED NAME: PEREGRINE PHARMACEUTICALS INC DATE OF NAME CHANGE: 20001109 FORMER COMPANY: FORMER CONFORMED NAME: TECHNICLONE CORP/DE/ DATE OF NAME CHANGE: 19970924 FORMER COMPANY: FORMER CONFORMED NAME: TECHNICLONE INTERNATIONAL CORP DATE OF NAME CHANGE: 19920703 4 1 ownership.xml X0306 4 2021-12-14 0 0000704562 Avid Bioservices, Inc. CDMO 0001227835 SARGEN GREGORY 14282 FRANKLIN AVENUE TUSTIN CA 92780 1 0 0 0 Common Stock, $0.001 par balue 2021-12-14 4 M 0 2379 A 2379 D Restricted Stock Units 2021-12-14 4 M 0 2379 0.0000 D Common Stock 2379 0 D Restricted Stock Units 2021-12-14 4 A 0 4632 0.0000 A Common Stock 4632 4632 D Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting, one share of the Issuer's Common Stock. RSUs granted to the reporting person on December 14, 2020 fully vested on December 14, 2021. Annual equity award grant pursuant to the Issuer's non-employee director compensation program. The RSUs granted to the reporting person shall fully vest on December 14, 2022, subject to the reporting person's continuous service to the Issuer on such vesting date. /s/ Stephen Hedberg by Power of Attorney for Gregory P. Sargen 2021-12-16