STOCK TITAN

[Form 4] Day One Biopharmaceuticals, Inc. Insider Trading Activity

Filing Impact
(Low)
Filing Sentiment
(Neutral)
Form Type
4
Rhea-AI Filing Summary

Houlihan Lokey, Inc. filed a Form 144 indicating a proposed sale of 200 common shares through Morgan Stanley Smith Barney on 14 July 2025. The aggregate market value of the shares to be sold is $37,918, versus 53,789,857 shares outstanding, representing a negligible 0.0004% of total shares.

The filer previously executed two Rule 10b5-1 sales for the same account—200 shares on 13 June 2025 for $34,874 and 200 shares on 13 May 2025 for $35,692. The securities being sold were acquired as restricted stock on 26 May 2021. No material adverse information was acknowledged by the seller, as required under Rule 144 representations.

This notice reflects routine insider share disposition activity. The transaction size is immaterial relative to market capitalization and does not appear to signal a strategic change or financial stress for HLI.

Houlihan Lokey, Inc. ha presentato un Modulo 144 indicando una proposta di vendita di 200 azioni ordinarie tramite Morgan Stanley Smith Barney il 14 luglio 2025. Il valore di mercato complessivo delle azioni da vendere è di 37.918 $, rispetto a un totale di 53.789.857 azioni in circolazione, rappresentando una quota trascurabile dello 0,0004% del totale.

Il dichiarante aveva precedentemente effettuato due vendite secondo la Regola 10b5-1 per lo stesso conto—200 azioni il 13 giugno 2025 per 34.874 $ e 200 azioni il 13 maggio 2025 per 35.692 $. I titoli venduti erano stati acquisiti come azioni vincolate il 26 maggio 2021. Il venditore non ha segnalato alcuna informazione negativa rilevante, come richiesto dalle dichiarazioni della Regola 144.

Questa comunicazione riflette un'attività di disposizione ordinaria di azioni da parte di un insider. La dimensione della transazione è irrilevante rispetto alla capitalizzazione di mercato e non sembra indicare un cambiamento strategico o difficoltà finanziarie per HLI.

Houlihan Lokey, Inc. presentó un Formulario 144 indicando una venta propuesta de 200 acciones comunes a través de Morgan Stanley Smith Barney el 14 de julio de 2025. El valor de mercado agregado de las acciones a vender es de $37,918, frente a 53,789,857 acciones en circulación, representando un porcentaje insignificante del 0.0004% del total de acciones.

El declarante previamente ejecutó dos ventas bajo la Regla 10b5-1 para la misma cuenta—200 acciones el 13 de junio de 2025 por $34,874 y 200 acciones el 13 de mayo de 2025 por $35,692. Los valores vendidos fueron adquiridos como acciones restringidas el 26 de mayo de 2021. El vendedor no reconoció información adversa material, como se requiere bajo las declaraciones de la Regla 144.

Este aviso refleja una actividad de disposición rutinaria de acciones por parte de un insider. El tamaño de la transacción es insignificante en relación con la capitalización de mercado y no parece señalar un cambio estratégico o estrés financiero para HLI.

Houlihan Lokey, Inc.는 2025년 7월 14일 Morgan Stanley Smith Barney를 통해 200주 보통주 매각을 제안하는 Form 144를 제출했습니다. 매도 예정 주식의 총 시장 가치는 $37,918로, 총 발행 주식 수 53,789,857주 대비 매우 미미한 0.0004%에 해당합니다.

신고자는 동일 계좌에 대해 이전에 두 차례 Rule 10b5-1 매각을 실행했으며—2025년 6월 13일 200주, $34,8742025년 5월 13일 200주, $35,692 매각이 있었습니다. 매도된 증권은 2021년 5월 26일 제한 주식으로 취득한 것입니다. 판매자는 Rule 144 진술에 따라 중요한 불리한 정보를 인정하지 않았습니다.

이 공지는 내부자 주식 처분의 일상적 활동을 반영합니다. 거래 규모는 시가총액 대비 미미하며 HLI에 전략적 변화나 재무적 어려움을 시사하지 않습니다.

Houlihan Lokey, Inc. a déposé un Formulaire 144 indiquant une vente proposée de 200 actions ordinaires via Morgan Stanley Smith Barney le 14 juillet 2025. La valeur marchande totale des actions à vendre est de 37 918 $, sur un total de 53 789 857 actions en circulation, représentant une part négligeable de 0,0004% du total des actions.

Le déclarant avait précédemment réalisé deux ventes conformément à la règle 10b5-1 pour le même compte—200 actions le 13 juin 2025 pour 34 874 $ et 200 actions le 13 mai 2025 pour 35 692 $. Les titres vendus avaient été acquis en tant qu’actions restreintes le 26 mai 2021. Le vendeur n’a signalé aucune information défavorable significative, comme requis par les déclarations de la règle 144.

Cette notification reflète une activité de cession d’actions d’initié de routine. La taille de la transaction est insignifiante par rapport à la capitalisation boursière et ne semble pas indiquer un changement stratégique ou une pression financière pour HLI.

Houlihan Lokey, Inc. reichte ein Formular 144 ein, das einen geplanten Verkauf von 200 Stammaktien über Morgan Stanley Smith Barney am 14. Juli 2025 ankündigt. Der Gesamtmarktwert der zu verkaufenden Aktien beträgt 37.918 $, gegenüber 53.789.857 ausstehenden Aktien, was einen vernachlässigbaren Anteil von 0,0004% der Gesamtaktien darstellt.

Der Melder hat zuvor zwei Verkäufe gemäß Regel 10b5-1 für dasselbe Konto durchgeführt—200 Aktien am 13. Juni 2025 für 34.874 $ und 200 Aktien am 13. Mai 2025 für 35.692 $. Die verkauften Wertpapiere wurden am 26. Mai 2021 als eingeschränkte Aktien erworben. Der Verkäufer hat keine wesentlichen nachteiligen Informationen gemäß den Angaben der Regel 144 angegeben.

Diese Mitteilung spiegelt eine routine Insider-Aktienveräußerung wider. Die Transaktionsgröße ist im Verhältnis zur Marktkapitalisierung unerheblich und deutet nicht auf eine strategische Änderung oder finanzielle Schwierigkeiten bei HLI hin.

Positive
  • None.
Negative
  • None.

Insights

TL;DR: Routine Form 144 for 200 shares; immaterial insider sale—neutral impact.

The filing discloses a proposed sale of 200 HLI shares (~$38k) plus history of two similar 200-share trades over the past three months. With 53.8 million shares outstanding, the cumulative 600-share disposition equals roughly 0.001% of equity, far below thresholds that generally alter insider-sentiment assessments. No information suggests unusual timing or undisclosed negative developments; the shares were originally granted as restricted stock in 2021. Overall, the event is non-material and should not affect valuation or liquidity.

Houlihan Lokey, Inc. ha presentato un Modulo 144 indicando una proposta di vendita di 200 azioni ordinarie tramite Morgan Stanley Smith Barney il 14 luglio 2025. Il valore di mercato complessivo delle azioni da vendere è di 37.918 $, rispetto a un totale di 53.789.857 azioni in circolazione, rappresentando una quota trascurabile dello 0,0004% del totale.

Il dichiarante aveva precedentemente effettuato due vendite secondo la Regola 10b5-1 per lo stesso conto—200 azioni il 13 giugno 2025 per 34.874 $ e 200 azioni il 13 maggio 2025 per 35.692 $. I titoli venduti erano stati acquisiti come azioni vincolate il 26 maggio 2021. Il venditore non ha segnalato alcuna informazione negativa rilevante, come richiesto dalle dichiarazioni della Regola 144.

Questa comunicazione riflette un'attività di disposizione ordinaria di azioni da parte di un insider. La dimensione della transazione è irrilevante rispetto alla capitalizzazione di mercato e non sembra indicare un cambiamento strategico o difficoltà finanziarie per HLI.

Houlihan Lokey, Inc. presentó un Formulario 144 indicando una venta propuesta de 200 acciones comunes a través de Morgan Stanley Smith Barney el 14 de julio de 2025. El valor de mercado agregado de las acciones a vender es de $37,918, frente a 53,789,857 acciones en circulación, representando un porcentaje insignificante del 0.0004% del total de acciones.

El declarante previamente ejecutó dos ventas bajo la Regla 10b5-1 para la misma cuenta—200 acciones el 13 de junio de 2025 por $34,874 y 200 acciones el 13 de mayo de 2025 por $35,692. Los valores vendidos fueron adquiridos como acciones restringidas el 26 de mayo de 2021. El vendedor no reconoció información adversa material, como se requiere bajo las declaraciones de la Regla 144.

Este aviso refleja una actividad de disposición rutinaria de acciones por parte de un insider. El tamaño de la transacción es insignificante en relación con la capitalización de mercado y no parece señalar un cambio estratégico o estrés financiero para HLI.

Houlihan Lokey, Inc.는 2025년 7월 14일 Morgan Stanley Smith Barney를 통해 200주 보통주 매각을 제안하는 Form 144를 제출했습니다. 매도 예정 주식의 총 시장 가치는 $37,918로, 총 발행 주식 수 53,789,857주 대비 매우 미미한 0.0004%에 해당합니다.

신고자는 동일 계좌에 대해 이전에 두 차례 Rule 10b5-1 매각을 실행했으며—2025년 6월 13일 200주, $34,8742025년 5월 13일 200주, $35,692 매각이 있었습니다. 매도된 증권은 2021년 5월 26일 제한 주식으로 취득한 것입니다. 판매자는 Rule 144 진술에 따라 중요한 불리한 정보를 인정하지 않았습니다.

이 공지는 내부자 주식 처분의 일상적 활동을 반영합니다. 거래 규모는 시가총액 대비 미미하며 HLI에 전략적 변화나 재무적 어려움을 시사하지 않습니다.

Houlihan Lokey, Inc. a déposé un Formulaire 144 indiquant une vente proposée de 200 actions ordinaires via Morgan Stanley Smith Barney le 14 juillet 2025. La valeur marchande totale des actions à vendre est de 37 918 $, sur un total de 53 789 857 actions en circulation, représentant une part négligeable de 0,0004% du total des actions.

Le déclarant avait précédemment réalisé deux ventes conformément à la règle 10b5-1 pour le même compte—200 actions le 13 juin 2025 pour 34 874 $ et 200 actions le 13 mai 2025 pour 35 692 $. Les titres vendus avaient été acquis en tant qu’actions restreintes le 26 mai 2021. Le vendeur n’a signalé aucune information défavorable significative, comme requis par les déclarations de la règle 144.

Cette notification reflète une activité de cession d’actions d’initié de routine. La taille de la transaction est insignifiante par rapport à la capitalisation boursière et ne semble pas indiquer un changement stratégique ou une pression financière pour HLI.

Houlihan Lokey, Inc. reichte ein Formular 144 ein, das einen geplanten Verkauf von 200 Stammaktien über Morgan Stanley Smith Barney am 14. Juli 2025 ankündigt. Der Gesamtmarktwert der zu verkaufenden Aktien beträgt 37.918 $, gegenüber 53.789.857 ausstehenden Aktien, was einen vernachlässigbaren Anteil von 0,0004% der Gesamtaktien darstellt.

Der Melder hat zuvor zwei Verkäufe gemäß Regel 10b5-1 für dasselbe Konto durchgeführt—200 Aktien am 13. Juni 2025 für 34.874 $ und 200 Aktien am 13. Mai 2025 für 35.692 $. Die verkauften Wertpapiere wurden am 26. Mai 2021 als eingeschränkte Aktien erworben. Der Verkäufer hat keine wesentlichen nachteiligen Informationen gemäß den Angaben der Regel 144 angegeben.

Diese Mitteilung spiegelt eine routine Insider-Aktienveräußerung wider. Die Transaktionsgröße ist im Verhältnis zur Marktkapitalisierung unerheblich und deutet nicht auf eine strategische Änderung oder finanzielle Schwierigkeiten bei HLI hin.

SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Bender Jeremy

(Last) (First) (Middle)
1800 SIERRA POINT PARKWAY, SUITE 200

(Street)
BRISBANE CA 94005

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Day One Biopharmaceuticals, Inc. [ DAWN ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
X Officer (give title below) Other (specify below)
CHIEF EXECUTIVE OFFICER
3. Date of Earliest Transaction (Month/Day/Year)
07/10/2025
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 07/10/2025 G 148,312(1) D $0 14,450 I See Footnote(2)
Common Stock 07/10/2025 G 148,312(1) A $0 955,338 I By Bender Revocable Trust(3)
Common Stock 07/10/2025 G 74,328(4) D $0 147,702 I See Footnote(5)
Common Stock 07/10/2025 G 74,328(4) A $0 1,029,666 I By Bender Revocable Trust(3)
Common Stock 07/10/2025 G 199,202(6) D $0 20,204 I See Footnote(7)
Common Stock 07/02/2024 G 199,202(6) A $0 1,228,868 I By Bender Revocable Trust(3)
Common Stock 07/10/2025 G 179,417(8) D $0 18,197 I See Footnote(9)
Common Stock 07/10/2025 G 179,417(8) A $0 1,408,285 I By Bender Revocable Trust(3)
Common Stock 145,737 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Explanation of Responses:
1. Represents an annuity payment made by The Jeremy Bender 2022 Grantor Retained Annuity Trust under Irrevocable Trust Agreement dated March 29, 2022 ("Jeremy Bender 2022 GRAT"), which was transferred by the Reporting Person as a bona fide gift for no consideration to the Bender Revocable Trust dated January 18, 2017, as amended, Jeremy Bender and Melissa C. Bender, Trustees ("Bender Revocable Trust dated January 18, 2017").
2. Represents shares held by the Jeremy Bender 2022 GRAT of which the Reporting Person is trustee.
3. Represents shares held by the Bender Revocable Trust dated January 18, 2017.
4. Represents an annuity payment made by The Melissa Bender 2022 Grantor Retained Annuity Trust under Irrevocable Trust Agreement dated March 29, 2022 ("Melissa Bender 2022 GRAT"), which was transferred by the Reporting Person as a bona fide gift for no consideration to the Bender Revocable Trust dated January 18, 2017.
5. Represents shares held by the Melissa Bender 2022 GRAT of which the Reporting Person's spouse is trustee.
6. Represents an annuity payment made by The Jeremy Bender 2023 Grantor Retained Annuity Trust dated June 27, 2023 ("Jeremy Bender 2023 GRAT"), which was transferred by the Reporting Person as a bona fide gift for no consideration to the Bender Revocable Trust dated January 18, 2017.
7. Represents shares held by the Jeremy Bender 2023 GRAT.
8. Represents an annuity payment made by The Melissa Bender 2023 Grantor Retained Annuity Trust, dated June 27, 2023 ("Melissa Bender 2023 GRAT"), which was transferred by the Reporting Person as a bona fide gift for no consideration to the Bender Revocable Trust dated January 18, 2017.
9. Represents shares held by the Melissa Bender 2023 GRAT.
/s/ Charles N. York II, Attorney-in-Fact 07/14/2025
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

FAQ

What did Houlihan Lokey (HLI) disclose in the latest Form 144?

The company reported a proposed sale of 200 common shares valued at $37,918 scheduled for 14 July 2025.

How significant is the 200-share sale compared with HLI's total shares outstanding?

The sale equals about 0.0004% of the 53,789,857 shares outstanding—an immaterial amount.

Were there other insider sales recently disclosed?

Yes. The filer sold 200 shares on 13 June 2025 for $34,874 and 200 shares on 13 May 2025 for $35,692.

What type of shares are being sold and when were they acquired?

They are restricted stock shares acquired on 26 May 2021.

Which broker is handling the proposed July 2025 sale?

The broker of record is Morgan Stanley Smith Barney LLC.
Day One Biopharmaceuticals, Inc.

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United States
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