Skip to main content

Adage Capital Partners, L.P.'s Form 4 filing

GCM Grosvenor Inc.GCMG · filed Jul 13, 2021

Accession no.
0000902664-21-003495
Filed
Jul 13, 2021, 3:36 PM ET
Trade date
Nov 20, 2020-Jan 7, 2021
Filing delay
235 daysLate
Rule 10b5-1 plan
Not on the form (before 2023)

This filing lists 30 non-derivative transactions. Open-market purchases total $1.67M. Open-market sales total $5.28M. It was filed 235 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.

Reporting owners on this filing
OwnerRelationship to the company
Adage Capital Partners, L.P.CIK 000116384610% Owner
Adage Capital Partners GP, L.L.C.CIK 000116540810% Owner
Adage Capital Advisors, L.L.C.CIK 000140340310% Owner
Atchinson RobertCIK 000140340410% Owner
Gross PhillipCIK 000140341310% Owner

Non-derivative securities (Table I)

Acquisitions and disposals of common stock and similar shares, one row per line on the filing.

Non-derivative transactions
Trade dateSecurityTransactionSharesPriceValueShares afterOwnershipFlags
Nov 20, 2020Class A Common Stock, $0.0001 par value Class A Common StockPPurchaseAcquired+100$9.31+$9315,938,610Indirect
Nov 25, 2020Class A Common StockPPurchaseAcquired+7,688$9.50+$73,0365,946,298Indirect
Nov 30, 2020Class A Common StockPPurchaseAcquired+10,000$9.47+$94,6715,956,298Indirect
Dec 1, 2020Class A Common StockPPurchaseAcquired+100$9.00+$9005,956,398Indirect
Dec 8, 2020Class A Common StockSSaleDisposed−29,768$12.56−$373,945.625,926,630Indirect
Dec 8, 2020Class A Common StockSSaleDisposed−10,218$12.53−$127,984.545,916,412Indirect
Dec 9, 2020Class A Common StockSSaleDisposed−50,000$13.51−$675,6355,866,412Indirect
Dec 9, 2020Class A Common StockSSaleDisposed−25,000$13.50−$337,6155,841,412Indirect
Dec 9, 2020Class A Common StockPPurchaseDisposed−23,957$14.02−$335,757.365,817,455Indirect
Dec 9, 2020Class A Common StockSSaleDisposed−25,000$13.53−$338,2005,792,455Indirect
Dec 9, 2020Class A Common StockSSaleDisposed−25,000$13.51−$337,7405,767,455Indirect
Dec 9, 2020Class A Common StockSSaleDisposed−25,000$13.79−$344,6955,742,455Indirect
Dec 9, 2020Class A Common StockSSaleDisposed−25,000$13.79−$344,832.55,717,455Indirect
Dec 9, 2020Class A Common StockSSaleDisposed−15,000$13.88−$208,195.55,702,455Indirect
Dec 10, 2020Class A Common StockSSaleAcquired+50,000$14.02+$700,9505,652,455Indirect
Dec 10, 2020Class A Common StockSSaleDisposed−25,000$13.87−$346,6855,627,455Indirect
Dec 10, 2020Class A Common StockSSaleDisposed−7,121$14.17−$100,891.045,620,334Indirect
Dec 10, 2020Class A Common StockSSaleDisposed−19,382$14.10−$273,311.45,600,952Indirect
Dec 11, 2020Class A Common StockSSaleDisposed−10,300$15.03−$154,804.885,590,652Indirect
Dec 11, 2020Class A Common StockSSaleDisposed−8,380$14.66−$122,838.235,582,272Indirect
Dec 14, 2020Class A Common StockSSaleDisposed−15,000$14.03−$210,4265,567,272Indirect
Dec 15, 2020Class A Common StockPPurchaseAcquired+300$12.75+$3,8255,567,572Indirect
Dec 16, 2020Class A Common StockPPurchaseAcquired+50,000$12.23+$611,4805,617,572Indirect
Dec 16, 2020Class A Common StockPPurchaseAcquired+1,750$11.75+$20,562.55,619,322Indirect
Dec 17, 2020Class A Common StockPPurchaseAcquired+29,629$12.25+$362,952.295,648,951Indirect
Dec 22, 2020Class A Common StockSSaleDisposed−15,000$13.68−$205,129.55,633,951Indirect
Dec 31, 2020Class A Common StockPPurchaseAcquired+10,000$13.27+$132,7335,643,951Indirect
Jan 4, 2021Class A Common StockSSaleDisposed−130$13.40−$1,742.35,643,821Indirect
Jan 6, 2021Class A Common StockSSaleDisposed−6,017$13.01−$78,251.695,637,804Indirect
Jan 7, 2021Class A Common StockPPurchaseAcquired+2,913$13.01+$37,883.865,640,717Indirect

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.

No transaction price on this filing refers to a footnote.

Remarks

The Reporting Persons disgorged to the Issuer all statutory "profits" pursuant to Section 16(b) of the Securities Exchange Act of 1934, as amended, that resulted from the transactions reported herein.

Read the full filing on SEC EDGAR (opens in a new tab)