Welihinda Navam's Form 4 filing
HashiCorp, Inc. (HCP) · filed Dec 15, 2021
- Accession no.
- 0000899243-21-048431
- Filed
- Dec 15, 2021
- Trade date
- Feb 13-Dec 13, 2021
- Filing delay
- 305 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 4 non-derivative transactions and 12 derivative transactions. Open-market sales total $539.4K. It was filed 305 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 |
|---|---|
| Welihinda NavamCIK 0001894706 | Officer (Chief Financial 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 |
|---|---|---|---|---|---|---|---|---|
| Dec 13, 2021 | Common Stock | JOtherDisposed | −301,028 | –F1 | – | 95,000 | Direct | |
| Dec 13, 2021 | Common Stock | JOtherDisposed | −95,000 | –F4 | – | 0 | Direct | |
| Dec 13, 2021 | Class A Common Stock | CConversionAcquired | +6,248 | –F5 | – | 6,248 | Direct | |
| Dec 13, 2021 | Class A Common Stock | SSaleDisposed | −6,248 | $86.33F6 | −$539,389.84 | 0 | 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 |
|---|---|---|---|---|---|---|---|---|
| Dec 13, 2021 | Class A Common Stock | JOtherAcquired | +180,028 | –F1 | – | 180,028 | Direct | |
| Dec 13, 2021 | Class A Common Stock | MOption exerciseAcquired | +6,248 | $0.00 | $0 | 186,276 | Direct | |
| Dec 13, 2021 | Class A Common Stock | CConversionDisposed | −6,248 | $0.00 | $0 | 180,028 | Direct | |
| Dec 13, 2021 | Class B Common Stock | JOtherAcquired | +121,000 | –F1 | – | 121,000 | Direct | |
| Dec 13, 2021 | Class A Common Stock | JOtherAcquired | +95,000 | –F4 | – | 95,000 | Direct | |
| Feb 13, 2021 | Common Stock | JOtherDisposed | −170,222 | –F1 | – | 0 | Direct | |
| Dec 13, 2021 | Class B Common Stock | JOtherAcquired | +170,222 | –F1 | – | 170,222 | Direct | |
| Dec 13, 2021 | Common Stock | JOtherDisposed | −50,000 | –F1 | – | 0 | Direct | |
| Dec 13, 2021 | Class B Common Stock | JOtherAcquired | +50,000 | –F1 | – | 50,000 | Direct | |
| Dec 13, 2021 | Common Stock | JOtherDisposed | −160,000 | –F1 | – | 0 | Direct | |
| Dec 13, 2021 | Class B Common Stock | JOtherAcquired | +160,000 | –F1 | – | 160,000 | Direct | |
| Dec 13, 2021 | Class B Common Stock | MOption exerciseDisposed | −6,248 | $0.00 | $0 | 153,752 | 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
Pursuant to a reclassification exempt under Rule 16b-7, each share of Common Stock was automatically reclassified into one share of Class A Common Stock immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock.
Referenced by the price of 1 transaction in Table I and 8 transactions in Table II.
- F4
Pursuant to a reclassification exempt under Rule 16b-7, each share of Common Stock underlying the RSU was automatically reclassified into one share of Class A Common Stock immediately prior to the completion of the Issuer's initial public offering of Class A Common Stock.
Referenced by the price of 1 transaction in Table I and 1 transaction in Table II.
- F5
Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and has no expiration date.
Referenced by the price of 1 transaction in Table I.
- F6
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $86.09 to $86.84, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price.
Referenced by the price of 1 transaction in Table I.