Louks Ronald Allen's Form 4 filing
NantHealth, Inc. (NHIQ) · filed Sep 9, 2021
- Accession no.
- 0000899243-21-035503
- Filed
- Sep 9, 2021
- Trade date
- Sep 3-8, 2021
- Filing delay
- 6 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 6 non-derivative transactions and 3 derivative transactions. Open-market sales total $52.3K. 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 |
|---|---|
| Louks Ronald AllenCIK 0001706849 | Officer (Chief Operating Officer) |
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 3, 2021 | Common Stock | MOption exerciseAcquired | +1,505 | $0.55 | +$827.75 | 227,362 | Direct | |
| Sep 3, 2021 | Common Stock | SSaleDisposed | −1,505 | $2.34F1 | −$3,521.7 | 225,857 | Direct | |
| Sep 7, 2021 | Common Stock | MOption exerciseAcquired | +16,613 | $0.55 | +$9,137.15 | 242,470 | Direct | |
| Sep 7, 2021 | Common Stock | SSaleDisposed | −16,613 | $2.30F2 | −$38,209.9 | 225,857 | Direct | |
| Sep 8, 2021 | Common Stock | MOption exerciseAcquired | +4,700 | $0.55 | +$2,585 | 230,557 | Direct | |
| Sep 8, 2021 | Common Stock | SSaleDisposed | −4,700 | $2.25F3 | −$10,575 | 225,857 | 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 3, 2021 | Common Stock | MOption exerciseDisposed | −1,505 | $0.00 | $0 | 548,495 | Direct | |
| Sep 7, 2021 | Common Stock | MOption exerciseDisposed | −16,613 | $0.00 | $0 | 531,882 | Direct | |
| Sep 8, 2021 | Common Stock | MOption exerciseDisposed | −4,700 | $0.00 | $0 | 527,182 | 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
Represents the weighted average share price of an aggregate total of 1,505 shares sold in the price range of $2.31 to $2.38 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
Referenced by the price of 1 transaction in Table I.
- F2
Represents the weighted average share price of an aggregate total of 16,613 shares sold in the price range of $2.25 to $2.32 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
Referenced by the price of 1 transaction in Table I.
- F3
Represents the weighted average share price of an aggregate total of 4,700 shares sold in the price range of $2.25 to $2.26 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
Referenced by the price of 1 transaction in Table I.