Holmes Marc's Form 4 filing
HashiCorp, Inc. (HCP) · filed Jun 22, 2023
- Accession no.
- 0000899243-23-016301
- Filed
- Jun 22, 2023
- Trade date
- Jun 20-21, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not checked
This filing lists 3 non-derivative transactions and 5 derivative transactions. Open-market sales total $113.4K. It was filed 2 days after the trade.
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 |
|---|---|
| Holmes MarcCIK 0001894601 | Officer (Chief Marketing 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 |
|---|---|---|---|---|---|---|---|---|
| Jun 20, 2023 | Class A Common Stock | MOption exerciseAcquired | +8,188 | –F1 | – | 34,629 | Direct | |
| Jun 21, 2023 | Class A Common Stock | CConversionAcquired | +8,650 | –F2 | – | 43,279 | Direct | |
| Jun 21, 2023 | Class A Common Stock | SSaleDisposed | −4,280 | $26.49F4 | −$113,377.2 | 38,999 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jun 20, 2023 | Class A Common Stock | MOption exerciseDisposed | −1,470 | $0.00 | $0 | 16,172 | Direct | |
| Jun 20, 2023 | Class A Common Stock | MOption exerciseDisposed | −6,718 | $0.00 | $0 | 100,771 | Direct | |
| Jun 20, 2023 | Class B Common Stock | MOption exerciseDisposed | −8,650 | $0.00 | $0 | 51,900 | Direct | |
| Jun 20, 2023 | Class A Common Stock | MOption exerciseAcquired | +8,650 | $0.00 | $0 | 37,137 | Direct | |
| Jun 21, 2023 | Class A Common Stock | CConversionDisposed | −8,650 | $0.00 | $0 | 28,487 | 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
Each restricted stock unit, or RSU, represents a contingent right to receive one share of Class A Common Stock.
Referenced by the price of 1 transaction in Table I.
- F2
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.
- F4
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.29 to $26.6775, 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.