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

GCM Grosvenor Inc.GCMG · filed Jul 13, 2021

Accession no.
0000902664-21-003497
Filed
Jul 13, 2021, 3:39 PM ET
Trade date
Feb 23-May 12, 2021
Filing delay
140 daysLate
Rule 10b5-1 plan
Not on the form (before 2023)

This filing lists 30 non-derivative transactions. Open-market purchases total $601.6K. Open-market sales total $7.42M. It was filed 140 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
Feb 23, 2021Class A Common Stock, $0.0001 par valueSSaleDisposed−395$13.26−$5,237.75,282,412Indirect
Feb 24, 2021Class A Common StockSSaleDisposed−25,000$13.23−$330,847.55,257,412Indirect
Feb 24, 2021Class A Common StockSSaleDisposed−25,000$13.28−$332,007.55,232,412Indirect
Feb 24, 2021Class A Common StockSSaleDisposed−900$13.31−$11,982.065,231,512Indirect
Mar 2, 2021Class A Common StockSSaleDisposed−7,481$13.50−$100,993.55,224,031Indirect
Mar 8, 2021Class A Common StockSSaleDisposed−25,000$13.03−$325,8605,199,031Indirect
Mar 8, 2021Class A Common StockSSaleDisposed−10,000$12.96−$129,5505,189,031Indirect
Apr 14, 2021Class A Common StockSSaleDisposed−24,720$12.26−$303,188.335,164,311Indirect
Apr 15, 2021Class A Common StockSSaleDisposed−11,139$12.25−$136,493.965,153,172Indirect
Apr 16, 2021Class A Common StockSSaleDisposed−440$12.25−$5,3905,152,732Indirect
Apr 19, 2021Class A Common StockSSaleDisposed−3,658$12.10−$44,264.735,149,074Indirect
Apr 21, 2021Class A Common StockPPurchaseAcquired+200$11.25+$2,2505,149,274Indirect
Apr 22, 2021Class A Common StockSSaleDisposed−200$12.25−$2,4505,149,074Indirect
Apr 23, 2021Class A Common StockSSaleDisposed−50,000$12.79−$639,6755,099,074Indirect
Apr 23, 2021Class A Common StockSSaleDisposed−5,560$13.02−$72,368.965,093,514Indirect
Apr 23, 2021Class A Common StockSSaleDisposed−35,000$12.82−$448,6375,058,514Indirect
Apr 26, 2021Class A Common StockSSaleDisposed−102$13.00−$1,3265,058,412Indirect
Apr 27, 2021Class A Common StockSSaleDisposed−40,066$13.00−$520,946.155,018,346Indirect
Apr 28, 2021Class A Common StockSSaleDisposed−38,400$13.25−$508,8004,979,946Indirect
Apr 28, 2021Class A Common StockSSaleDisposed−15,000$13.14−$197,038.54,964,946Indirect
Apr 29, 2021Class A Common StockSSaleDisposed−35,000$13.31−$465,8014,929,946Indirect
Apr 29, 2021Class A Common StockSSaleDisposed−50,000$13.31−$665,5104,879,946Indirect
Apr 29, 2021Class A Common StockSSaleDisposed−900$13.36−$12,026.524,879,046Indirect
Apr 30, 2021Class A Common StockSSaleDisposed−44,708$13.25−$592,582.194,834,338Indirect
May 4, 2021Class A Common StockSSaleDisposed−50,000$13.02−$650,8004,784,338Indirect
May 5, 2021Class A Common StockSSaleDisposed−7,990$13.50−$107,866.64,776,348Indirect
May 6, 2021Class A Common StockSSaleDisposed−34,906$13.33−$465,370.284,741,442Indirect
May 7, 2021Class A Common StockSSaleDisposed−25,000$13.40−$335,0404,716,442Indirect
May 10, 2021Class A Common StockSSaleDisposed−889$13.35−$11,868.154,715,553Indirect
May 12, 2021Class A Common StockPPurchaseAcquired+50,000$11.99+$599,3254,765,553Indirect

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)