Oconnor Sean Michael's Form 4 filing
StoneX Group Inc. (SNEX) · filed Sep 13, 2021
- Accession no.
- 0000913760-21-000141
- Filed
- Sep 13, 2021
- Trade date
- Sep 9-10, 2021
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 6 non-derivative transactions and 3 derivative transactions. Open-market sales total $1.41M. It was filed 4 days after the trade.
This filing was later replaced by the amendment 0000913760-21-000143 (Sep 16, 2021). Trade tables on this site use the amended version.
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 |
|---|---|
| Oconnor Sean MichaelCIK 0001208362 | Director, Officer (CEO/President) |
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 |
|---|---|---|---|---|---|---|---|---|
| Sep 9, 2021 | Common Stock | MOption exerciseAcquired | +13,079 | $25.91 | +$338,876.89 | 344,098 | Direct | |
| Sep 9, 2021 | Common Stock | SSaleDisposed | −9,385 | $67.68F1 | −$635,176.8 | 334,713 | Direct | |
| Sep 9, 2021 | Common Stock | MOption exerciseAcquired | +16,026 | $25.91 | +$415,233.66 | 350,739 | Direct | |
| Sep 9, 2021 | Common Stock | SSaleDisposed | −10,000 | $68.00 | −$680,000 | 340,739 | Direct | |
| Sep 10, 2021 | Common Stock | MOption exerciseAcquired | +1,835 | $25.91 | +$47,544.85 | 342,574 | Direct | |
| Sep 10, 2021 | Common Stock | SSaleDisposed | −1,325 | $68.00 | −$90,100 | 341,249 | 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 |
|---|---|---|---|---|---|---|---|---|
| Sep 9, 2021 | Common | MOption exerciseDisposed | −13,079 | $0.00 | $0 | 291,921 | Direct | |
| Sep 9, 2021 | Common | MOption exerciseDisposed | −16,026 | $0.00 | $0 | 275,895 | Direct | |
| Sep 10, 2021 | Common | MOption exerciseDisposed | −1,835 | $0.00 | $0 | 274,060 | 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
The price reported represents an average price. The Reporting Person will provide to the Commission, the issuer and any stockholder, upon request, full information regarding the number of shares sold at each separate price.
Referenced by the price of 1 transaction in Table I.