Goldman Sachs & Co. LLC's Form 4 filing
D-Wave Quantum Inc. (QBTS) · filed Mar 24, 2023
- Accession no.
- 0000899243-23-009615
- Filed
- Mar 24, 2023, 9:14 PM ET
- Trade date
- Aug 10-Dec 13, 2022
- Filing delay
- 226 daysLate
- Rule 10b5-1 plan
- Not checked
This filing lists 28 non-derivative transactions and 2 derivative transactions. Open-market purchases total $243.5K. Open-market sales total $239.6K. It was filed 226 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 |
|---|---|
| Goldman Sachs & Co. LLCCIK 0000769993 | 10% Owner |
| Goldman Sachs Group IncCIK 0000886982 | 10% Owner |
| Broad Street Principal Investments, L.L.C.CIK 0001575993 | 10% Owner |
| Bridge Street 2014, L.P.CIK 0001601462 | 10% Owner |
| MBD 2014, L.P.CIK 0001601463 | 10% Owner |
| 2014 Employee Offshore Aggregator, L.P.CIK 0001967298 | 10% Owner |
| Stone Street 2014 Holdings, L.P.CIK 0001967645 | 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 |
|---|---|---|---|---|---|---|---|---|
| Aug 10, 2022 | Common Stock, par value $0.0001 per share | PPurchaseAcquired | +19,100 | $12.01 | +$229,444.48 | 7,958,246 | Indirect | |
| Aug 10, 2022 | Common Stock, par value $0.0001 per share | SSaleDisposed | −19,100 | $12.01 | −$229,444.48 | 7,939,146 | Indirect | |
| Aug 10, 2022 | Common Stock, par value $0.0001 per share | PPurchaseAcquired | +500 | $12.00 | +$6,000 | 7,939,646 | Indirect | |
| Aug 10, 2022 | Common Stock, par value $0.0001 per share | SSaleDisposed | −500 | $12.00 | −$6,000 | 7,939,146 | Indirect | |
| Aug 11, 2022 | Common Stock, par value $0.0001 per share | PPurchaseAcquired | +54 | $11.79 | +$636.66 | 7,939,200 | Indirect | |
| Aug 11, 2022 | Common Stock, par value $0.0001 per share | SSaleDisposed | −1 | $12.10 | −$12.1 | 7,939,199 | Indirect | |
| Aug 11, 2022 | Common Stock, par value $0.0001 per share | SSaleDisposed | −54 | $11.79 | −$636.66 | 7,939,145 | Indirect | |
| Aug 11, 2022 | Common Stock, par value $0.0001 per share | PPurchaseAcquired | +1 | $12.10 | +$12.1 | 7,939,146 | Indirect | |
| Aug 12, 2022 | Common Stock, par value $0.0001 per share | SSaleDisposed | −24 | $11.14 | −$267.36 | 7,939,122 | Indirect | |
| Aug 12, 2022 | Common Stock, par value $0.0001 per share | PPurchaseAcquired | +13 | $11.36 | +$147.68 | 7,939,135 | Indirect | |
| Aug 12, 2022 | Common Stock, par value $0.0001 per share | SSaleDisposed | −13 | $11.36 | −$147.68 | 7,939,122 | Indirect | |
| Aug 12, 2022 | Common Stock, par value $0.0001 per share | PPurchaseAcquired | +24 | $11.14 | +$267.36 | 7,939,146 | Indirect | |
| Aug 16, 2022 | Common Stock, par value $0.0001 per share | SSaleDisposed | −100 | $10.45 | −$1,045 | 7,939,046 | Indirect | |
| Aug 16, 2022 | Common Stock, par value $0.0001 per share | PPurchaseAcquired | +100 | $10.45 | +$1,045 | 7,939,146 | Indirect | |
| Aug 19, 2022 | Common Stock, par value $0.0001 per share | PPurchaseAcquired | +29 | $8.95 | +$259.55 | 7,939,175 | Indirect | |
| Aug 19, 2022 | Common Stock, par value $0.0001 per share | SSaleDisposed | −29 | $8.95 | −$259.55 | 7,939,146 | Indirect | |
| Aug 23, 2022 | Common Stock, par value $0.0001 per share | PPurchaseAcquired | +100 | $8.05 | +$805 | 7,939,246 | Indirect | |
| Aug 23, 2022 | Common Stock, par value $0.0001 per share | SSaleDisposed | −100 | $8.05 | −$805 | 7,939,146 | Indirect | |
| Aug 24, 2022 | Common Stock, par value $0.0001 per share | SSaleDisposed | −14 | $8.88 | −$124.32 | 7,939,132 | Indirect | |
| Aug 24, 2022 | Common Stock, par value $0.0001 per share | PPurchaseAcquired | +14 | $8.88 | +$124.32 | 7,939,146 | Indirect | |
| Aug 31, 2022 | Common Stock, par value $0.0001 per share | SSaleDisposed | −64 | $6.39 | −$408.96 | 7,939,082 | Indirect | |
| Aug 31, 2022 | Common Stock, par value $0.0001 per share | PPurchaseAcquired | +64 | $7.01 | +$448.64 | 7,939,146 | Indirect | |
| Aug 31, 2022 | Common Stock, par value $0.0001 per share | PPurchaseAcquired | +64 | $6.68 | +$427.52 | 7,939,210 | Indirect | |
| Aug 31, 2022 | Common Stock, par value $0.0001 per share | SSaleDisposed | −64 | $6.68 | −$427.52 | 7,939,146 | Indirect | |
| Sep 2, 2022 | Common Stock, par value $0.0001 per share | PPurchaseAcquired | +255 | $6.30 | +$1,605.66 | 7,939,401 | Indirect | |
| Sep 2, 2022 | Common Stock, par value $0.0001 per share | PPurchaseAcquired | +51 | $6.17 | +$314.42 | 7,939,452 | Indirect | |
| Sep 2, 2022 | Common Stock, par value $0.0001 per share | PPurchaseAcquired | +102 | $6.22 | +$634.38 | 7,939,554 | Indirect | |
| Sep 2, 2022 | Common Stock, par value $0.0001 per share | PPurchaseAcquired | +222 | $6.13 | +$1,361.93 | 7,939,776 | Indirect |
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, 2022 | Common Stock, par value $0.0001 per share | PPurchaseAcquired | +9,257 | $0.1393F5 | +$886.78 | 6,366 | Indirect | |
| Dec 13, 2022 | Common Stock, par value $0.0001 per share | SSaleDisposed | −9,257 | $0.1393F5 | −$886.78 | 0 | Indirect |
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.
- F5
Each warrant of the Issuer entitles the holder to purchase 1.4541326 Common Shares at $11.50. The warrants are exercisable commencing on September 4, 2022. The warrants will expire on August 5, 2027, or earlier upon redemption or liquidation.
Referenced by the price of 2 transactions in Table II.
Remarks
Balance of trades included in attached schedule. (See Exhibit 99.1)