0001683168-23-002229.txt : 20230407 0001683168-23-002229.hdr.sgml : 20230407 20230407193524 ACCESSION NUMBER: 0001683168-23-002229 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230405 FILED AS OF DATE: 20230407 DATE AS OF CHANGE: 20230407 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Hart Daniel R CENTRAL INDEX KEY: 0001346342 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32839 FILM NUMBER: 23809504 MAIL ADDRESS: STREET 1: 2642 MICHELLE DR., SUITE 200 CITY: TUSTIN STATE: CA ZIP: 62780 FORMER NAME: FORMER CONFORMED NAME: Hart Daniel Ryan DATE OF NAME CHANGE: 20051208 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: 14191 MYFORD ROAD CITY: TUSTIN STATE: CA ZIP: 92780 BUSINESS PHONE: 714.508.6100 MAIL ADDRESS: STREET 1: 14191 MYFORD ROAD 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 X0407 4 2023-04-05 0 0000704562 Avid Bioservices, Inc. CDMO 0001346342 Hart Daniel R 14191 MYFORD ROAD TUSTIN CA 92780 0 1 0 0 Chief Financial Officer 1 Common Stock, $0.001 par value 2023-04-05 4 S 0 750 19.00 D 46207 D Common Stock, $0.001 par value 2023-04-05 4 M 0 500 5.66 A 46707 D Common Stock, $0.001 par value 2023-04-05 4 S 0 500 19.00 D 46207 D Stock Option(right to buy) 5.6600 2023-04-05 4 M 0 500 0.0000 D 2028-08-01 Common Stock 500 229880 D The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on October 17, 2022. Stock option granted to the reporting person on August 1, 2018 vested in four (4) equal annual installments and was fully-vested as of August 1, 2022. /s/ Daniel R. Hart 2023-04-07