0001683168-20-002275.txt : 20200714 0001683168-20-002275.hdr.sgml : 20200714 20200714212508 ACCESSION NUMBER: 0001683168-20-002275 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200710 FILED AS OF DATE: 20200714 DATE AS OF CHANGE: 20200714 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Ziebell Mark R CENTRAL INDEX KEY: 0001552642 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32839 FILM NUMBER: 201028158 MAIL ADDRESS: STREET 1: 14282 FRANKLIN AVENUE CITY: TUSTIN STATE: CA ZIP: 92780 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 2020-07-10 0 0000704562 Avid Bioservices, Inc. CDMO 0001552642 Ziebell Mark R 2642 MICHELLE DRIVE, SUITE 200 TUSTIN CA 92780 0 1 0 0 V. P., General Counsel Common Stock, $0.001 par value 2020-07-10 4 M 0 10512 A 10512 D Common Stock, $0.001 par value 2020-07-13 4 S 0 3683 6.88 D 6829 D Restricted Stock Units 2020-07-10 4 M 0 10512 0.0000 D Common Stock 10512 31538 D Stock Option (right to buy) 6.95 2020-07-10 4 A 0 55310 0.0000 A 2021-07-10 2027-07-10 Common Stock 55310 292717 D Restricted Stock Units 2020-07-10 4 A 0 15110 0.0000 A 2021-07-10 Common Stock 15110 46648 D Each Restricted Stock Unit ("RSU") represents the contingent right to receive, upon vesting, one share of the Issuer's Common Stock. Represents the shares automatically sold by the reporting person pursuant to an election to satisfy tax withholding obligations in connection with the vesting of the RSUs described in footnote 3. This sale does not represent a discretionary trade by the reporting person. RSUs granted to the reporting person on July 10, 2019, vest at the rate of 25% on each anniversary of the date of grant until fully-vested, subject to the reporting person's continuous service to the Issuer on such vesting dates. Stock Options granted to the reporting person on July 10, 2020, vest at the rate of 25% on each anniversary of the date of grant until fully-vested, subject to the reporting person's continuous service to the Issuer on such vesting dates. RSUs granted to the reporting person on July 10, 2020, vest at the rate of 25% on each anniversary of the date of grant until fully-vested, subject to the reporting person's continuous service to the Issuer on such vesting dates. /s/ Mark R. Ziebell 2020-07-14