Douglass Stephen's Form 4 filing
Lattice Semiconductor Corp (LSCC) · filed Sep 10, 2021
- Accession no.
- 0000855658-21-000206
- Filed
- Sep 10, 2021
- Trade date
- Sep 4-8, 2021
- Filing delay
- 6 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 6 non-derivative transactions and 2 derivative transactions. Open-market sales total $3.30M. It was filed 6 days after the trade, past the 2-business-day deadline.
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 |
|---|---|
| Douglass StephenCIK 0001752584 | Officer (VP Corp, R&D) |
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 |
|---|---|---|---|---|---|---|---|---|
| Sep 4, 2021 | Common Stock | MOption exerciseAcquired | +8,076 | $0.00F1 | $0 | 87,621 | Direct | |
| Sep 4, 2021 | Common Stock | SSaleDisposed | −4,005 | $63.07 | −$252,595.35 | 83,616 | Direct | |
| Sep 4, 2021 | Common Stock | MOption exerciseAcquired | +61,538 | $0.00F1 | $0 | 145,154 | Direct | |
| Sep 4, 2021 | Common Stock | SSaleDisposed | −30,511 | $63.07 | −$1,924,328.77 | 114,643 | Direct | |
| Sep 7, 2021 | Common Stock | SSaleDisposed | −2,495 | $63.61F4 | −$158,706.95 | 112,148 | Direct | |
| Sep 8, 2021 | Common Stock | SSaleDisposed | −15,514 | $62.43F5 | −$968,539.02 | 96,634 | 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 |
|---|---|---|---|---|---|---|---|---|
| Sep 4, 2021 | Common Stock | MOption exerciseDisposed | −61,538 | $0.00 | $0 | 54,846 | Direct | |
| Sep 4, 2021 | Common Stock | MOption exerciseDisposed | −8,076 | $0.00 | $0 | 128,393 | 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.
- F1
Restricted Stock Units - no purchase price for this transaction.
Referenced by the price of 2 transactions in Table I.
- F4
The price indicated is the weighted average sale price for the shares sold. The individual sale prices for the shares indicated range from $63.33 to $63.90.
Referenced by the price of 1 transaction in Table I.
- F5
The price indicated is the weighted average sale price for the shares sold. The individual sale prices for the shares indicated range from $61.95 to $63.29.
Referenced by the price of 1 transaction in Table I.