0001683168-24-002321.txt : 20240411 0001683168-24-002321.hdr.sgml : 20240411 20240411194306 ACCESSION NUMBER: 0001683168-24-002321 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: Richieri Richard A. CENTRAL INDEX KEY: 0001976193 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32839 FILM NUMBER: 24839706 MAIL ADDRESS: STREET 1: 14191 MYFORD ROAD 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] 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 0001976193 Richieri Richard A. 14191 MYFORD ROAD TUSTIN CA 92780 0 1 0 0 Chief Operations Officer 0 Common Stock, $0.001 par value 2024-04-09 4 M 0 506 A 26131 D Common Stock, $0.001 par value 2024-04-09 4 M 0 946 A 27077 D Common Stock, $0.001 par value 2024-04-09 4 M 0 1060 A 28137 D Common Stock, $0.001 par value 2024-04-09 4 M 0 40 A 5248 I By Spouse Common Stock, $0.001 par value 2024-04-09 4 M 0 83 A 5331 I By Spouse Common Stock, $0.001 par value 2024-04-09 4 M 0 131 A 5462 I By Spouse Restricted Stock Units 2024-04-09 4 M 0 506 0.0000 D Common Stock 506 30874 D Restricted Stock Units 2024-04-09 4 M 0 946 0.0000 D Common Stock 946 29928 D Restricted Stock Units 2024-04-09 4 M 0 1060 0.0000 D Common Stock 1060 28868 D Restricted Stock Units 2024-04-09 4 M 0 40 0.0000 D Common Stock 40 3007 I By Spouse Restricted Stock Units 2024-04-09 4 M 0 83 0.0000 D Common Stock 83 2924 I By Spouse Restricted Stock Units 2024-04-09 4 M 0 131 0.0000 D Common Stock 131 2793 I By Spouse 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 and/or the reporting person's spouse 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 and/or the reporting person's spouse 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 and/or the reporting person's spouse 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/ Stephen Hedberg, by Power of Attorney for Richard A. Richieri 2024-04-11