0001683168-24-002319.txt : 20240411 0001683168-24-002319.hdr.sgml : 20240411 20240411194115 ACCESSION NUMBER: 0001683168-24-002319 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240409 FILED AS OF DATE: 20240411 DATE AS OF CHANGE: 20240411 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Hart Daniel R CENTRAL INDEX KEY: 0001346342 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32839 FILM NUMBER: 24839704 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] ORGANIZATION NAME: 03 Life Sciences 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 X0508 4 2024-04-09 0 0000704562 Avid Bioservices, Inc. CDMO 0001346342 Hart Daniel R 14191 MYFORD ROAD TUSTIN CA 92780 0 1 0 0 Chief Financial Officer 0 Common Stock, $0.001 par value 2024-04-09 4 M 0 1520 A 80825 D Common Stock, $0.001 par value 2024-04-09 4 M 0 2102 A 82927 D Common Stock, $0.001 par value 2024-04-09 4 M 0 2120 A 85047 D Restricted Stock Units 2024-04-09 4 M 0 1520 0.0000 D Common Stock 1520 63145 D Restricted Stock Units 2024-04-09 4 M 0 2102 0.0000 D Common Stock 2102 61043 D Restricted Stock Units 2024-04-09 4 M 0 2120 0.0000 D Common Stock 2120 58923 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 July 9, 2021, vest in sixteen (16) equal quarterly installments over a four (4) year period beginning October 9, 2021, and each quarter thereafter 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 9, 2022, vest in sixteen (16) equal quarterly installments over a four (4) year period beginning October 9, 2022, and each quarter thereafter 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 9, 2023, vest in sixteen (16) equal quarterly installments over a four (4) year period beginning October 9, 2023, and each quarter thereafter until fully-vested, subject to the reporting person's continuous service to the Issuer on such vesting dates. /s/ Daniel R. Hart 2024-04-11