Rosenthal Lee's Form 4 filing
Paragon 28, Inc. (FNA) · filed Oct 31, 2022
- Accession no.
- 0000899243-22-034604
- Filed
- Oct 31, 2022
- Trade date
- Jul 20-Aug 8, 2022
- Filing delay
- 103 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 30 non-derivative transactions and 14 derivative transactions. Open-market sales total $13.2M. It was filed 103 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 |
|---|---|
| Rosenthal LeeCIK 0001938249 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jul 20, 2022 | Common Stock | MOption exerciseAcquired | +42,865 | $0.60 | +$25,719 | 1,185,300 | Direct | |
| Jul 20, 2022 | Common Stock | SSaleDisposed | −42,865 | $18.63 | −$798,574.95 | 1,142,435 | Direct | |
| Jul 20, 2022 | Common Stock | SSaleDisposed | −71,061 | $18.68 | −$1,327,419.48 | 1,071,374 | Direct | |
| Jul 21, 2022 | Common Stock | MOption exerciseAcquired | +32,135 | $0.60 | +$19,281 | 1,103,509 | Direct | |
| Jul 21, 2022 | Common Stock | MOption exerciseAcquired | +25,000 | $0.60 | +$15,000 | 1,128,509 | Direct | |
| Jul 21, 2022 | Common Stock | MOption exerciseAcquired | +1,036 | $1.20 | +$1,243.2 | 1,129,545 | Direct | |
| Jul 21, 2022 | Common Stock | SSaleDisposed | −58,171 | $18.48 | −$1,075,000.08 | 1,071,374 | Direct | |
| Jul 21, 2022 | Common Stock | SSaleDisposed | −27,838 | $18.47 | −$514,167.86 | 1,043,536 | Direct | |
| Jul 22, 2022 | Common Stock | GGiftDisposed | −5,000 | $0.00 | $0 | 1,038,536 | Direct | |
| Jul 22, 2022 | Common Stock | SSaleDisposed | −1,541 | $18.29 | −$28,184.89 | 1,036,995 | Direct | |
| Jul 25, 2022 | Common Stock | MOption exerciseAcquired | +20,813 | $1.20 | +$24,975.6 | 1,057,808 | Direct | |
| Jul 25, 2022 | Common Stock | SSaleDisposed | −20,813 | $18.53 | −$385,664.89 | 1,036,995 | Direct | |
| Jul 25, 2022 | Common Stock | SSaleDisposed | −37,292 | $18.51 | −$690,274.92 | 999,703 | Direct | |
| Jul 26, 2022 | Common Stock | MOption exerciseAcquired | +28,151 | $1.20 | +$33,781.2 | 1,027,854 | Direct | |
| Jul 26, 2022 | Common Stock | MOption exerciseAcquired | +21,849 | $4.60 | +$100,505.4 | 1,049,703 | Direct | |
| Jul 26, 2022 | Common Stock | SSaleDisposed | −50,000 | $18.86 | −$943,000 | 999,703 | Direct | |
| Jul 26, 2022 | Common Stock | SSaleDisposed | −6,296 | $18.90 | −$118,994.4 | 993,407 | Direct | |
| Jul 27, 2022 | Common Stock | MOption exerciseAcquired | +28,151 | $4.60 | +$129,494.6 | 1,021,558 | Direct | |
| Jul 27, 2022 | Common Stock | MOption exerciseAcquired | +17,962 | $5.40 | +$96,994.8 | 1,039,520 | Direct | |
| Jul 27, 2022 | Common Stock | SSaleDisposed | −46,113 | $19.44 | −$896,436.72 | 993,407 | Direct | |
| Jul 27, 2022 | Common Stock | SSaleDisposed | −84,131 | $19.29 | −$1,622,886.99 | 909,276 | Direct | |
| Jul 28, 2022 | Common Stock | MOption exerciseAcquired | +100 | $5.40 | +$540 | 909,376 | Direct | |
| Jul 28, 2022 | Common Stock | SSaleDisposed | −100 | $19.54 | −$1,954 | 909,276 | Direct | |
| Jul 28, 2022 | Common Stock | SSaleDisposed | −5,080 | $19.03 | −$96,672.4 | 904,196 | Direct | |
| Jul 29, 2022 | Common Stock | SSaleDisposed | −1,290 | $19.00 | −$24,510 | 902,906 | Direct | |
| Aug 1, 2022 | Common Stock | SSaleDisposed | −6,372 | $19.02 | −$121,195.44 | 896,534 | Direct | |
| Aug 3, 2022 | Common Stock | SSaleDisposed | −73,408 | $19.32 | −$1,418,242.56 | 823,126 | Direct | |
| Aug 4, 2022 | Common Stock | SSaleDisposed | −39,937 | $19.56 | −$781,167.72 | 783,189 | Direct | |
| Aug 5, 2022 | Common Stock | SSaleDisposed | −119,466 | $19.56 | −$2,336,754.96 | 663,723 | Direct | |
| Aug 5, 2022 | Common Stock | MOption exerciseAcquired | +29,748 | $5.40 | +$160,639.2 | 693,471 | 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 20, 2022 | Common Stock | MOption exerciseDisposed | −42,865 | $0.00 | $0 | 32,135 | Direct | |
| Jul 21, 2022 | Common Stock | MOption exerciseDisposed | −32,135 | $0.00 | $0 | 0 | Direct | |
| Jul 21, 2022 | Common Stock | MOption exerciseDisposed | −25,000 | $0.00 | $0 | 0 | Direct | |
| Jul 21, 2022 | Common Stock | MOption exerciseDisposed | −1,036 | $0.00 | $0 | 48,964 | Direct | |
| Jul 25, 2022 | Common Stock | MOption exerciseDisposed | −20,813 | $0.00 | $0 | 28,151 | Direct | |
| Jul 26, 2022 | Common Stock | MOption exerciseDisposed | −28,151 | $0.00 | $0 | 0 | Direct | |
| Jul 26, 2022 | Common Stock | MOption exerciseDisposed | −21,849 | $0.00 | $0 | 28,151 | Direct | |
| Jul 27, 2022 | Common Stock | MOption exerciseDisposed | −28,151 | $0.00 | $0 | 0 | Direct | |
| Jul 27, 2022 | Common Stock | MOption exerciseDisposed | −17,962 | $0.00 | $0 | 32,038 | Direct | |
| Jul 28, 2022 | Common Stock | MOption exerciseDisposed | −100 | $0.00 | $0 | 31,938 | Direct | |
| Aug 5, 2022 | Common Stock | MOption exerciseDisposed | −29,748 | $0.00 | $0 | 2,190 | Direct | |
| Aug 8, 2022 | Common Stock | MOption exerciseDisposed | −2,190 | $0.00 | $0 | 0 | Direct | |
| Aug 8, 2022 | Common Stock | MOption exerciseDisposed | −25,000 | $0.00 | $0 | 0 | Direct | |
| Aug 8, 2022 | Common Stock | MOption exerciseDisposed | −12,500 | $0.00 | $0 | 12,500 | Direct |
Footnotes
Livermore does not store Form 4 footnotes. For price ranges, how indirect holdings are held and trading plan details, read the original on SEC EDGAR.