Norwood Ralph M's Form 4 filing
CPS Technologies Corp (CPSH) · filed Nov 15, 2022
- Accession no.
- 0000814676-22-000013
- Filed
- Nov 15, 2022
- Trade date
- Nov 11-14, 2022
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 4 non-derivative transactions and 1 derivative transaction. Open-market sales total $38.6K. It was filed 4 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Norwood Ralph MCIK 0001205534 | Director |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 11, 2022 | Common Stock | XIn-the-money exerciseAcquired | +20,000 | $1.00 | +$20,000 | 41,325 | Direct | |
| Nov 11, 2022 | Common Stock | FTax withholdingDisposed | −5,698 | $3.51 | −$19,999.98 | 35,627 | Direct | |
| Nov 11, 2022 | Common Stock | SSaleDisposed | −5,000 | $3.50 | −$17,500 | 30,627 | Direct | |
| Nov 14, 2022 | Common Stock | SSaleDisposed | −6,034 | $3.49 | −$21,058.66 | 24,593 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 11, 2022 | Common Stock | XIn-the-money exerciseDisposed | −20,000 | $1.00 | −$20,000 | 143,100 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
No transaction price on this filing refers to a footnote.