Wilks Dan H.'s Form 4 filing
U.S. Well Services Holdings, LLC (USWS) · filed Jul 7, 2021
- Accession no.
- 0000899243-21-027743
- Filed
- Jul 7, 2021, 9:50 AM ET
- Trade date
- Jun 30-Jul 1, 2021
- Filing delay
- 7 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 1 non-derivative transaction and 1 derivative transaction. Open-market purchases total $200.9K. It was filed 7 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 |
|---|---|
| Wilks Dan H.CIK 0001641792 | 10% Owner |
| Wilks StaciCIK 0001641796 | 10% Owner |
| THRC Holdings, LPCIK 0001754159 | 10% Owner |
| THRC Management, LLCCIK 0001834450 | 10% Owner |
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 |
|---|---|---|---|---|---|---|---|---|
| Jun 30, 2021 | Class A Common Stock | PPurchaseAcquired | +200,909 | $1.00 | +$200,909 | 200,909 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jul 1, 2021 | Class A Common Stock | SSaleDisposed | −12,755,102 | –F3 | – | – | 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.
- F3
All or any portion of the Notes may be converted at the election of the holder thereof at any time into a number of shares Class A Common Stock, determined by dividing (a) the outstanding balance of the principal amount of the Notes being converted (together with the accrued but unpaid interest thereon) as of the applicable conversion date, by (b) a conversion price of $0.98, which such conversion price is subject to certain anti-dilution adjustments in accordance with its terms.
Referenced by the price of 1 transaction in Table II.