Oconnor Sean Michael's Form 4/A amendment
AmendedStoneX Group Inc. (SNEX) · filed Sep 16, 2021
- Accession no.
- 0000913760-21-000143
- Filed
- Sep 16, 2021
- Trade date
- Sep 9-10, 2021
- Filing delay
- 7 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Sep 9, 2021
This filing lists 4 non-derivative transactions and 2 derivative transactions. It carries over 3 transactions from the original filing that it did not restate. Open-market sales total $1.41M. It was filed 7 days after the trade.
This amendment restates part of 0000913760-21-000141 (filed Sep 13, 2021). The transactions it did not restate still count and are listed below.
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 | +13,807 | $25.91 | +$357,739.37 | 348,520 | Direct | |
| Sep 9, 2021 | Common Stock | SSaleDisposed | −10,000 | $68.00 | −$680,000 | 338,520 | Direct | |
| Sep 10, 2021 | Common Stock | MOption exerciseAcquired | +1,848 | $25.91 | +$47,881.68 | 340,368 | Direct | |
| Sep 10, 2021 | Common Stock | SSaleDisposed | −1,325 | $68.00 | −$90,100 | 339,043 | 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 | −13,807 | $0.00 | $0 | 278,114 | Direct | |
| Sep 10, 2021 | Common | MOption exerciseDisposed | −1,848 | $0.00 | $0 | 276,266 | Direct |
Carried over from the original filing
This amendment restates only part of the original filing. The original's other transactions still stand, and the trade tables on Livermore count them under this amendment.
From 0000913760-21-000141 (filed Sep 13, 2021).
Non-derivative securities (Table I)
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| 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 |
Derivative securities (Table II)
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Sep 9, 2021 | Common | MOption exerciseDisposed | −16,026 | $0.00 | $0 | 275,895 | Direct |
Footnotes on the original
The footnotes that the prices of these transactions refer to on the original filing.
- 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.
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
Amendment filed to correct the number of options exercised.
- F2
Amendment filed to correct the number of shares beneficially owned following correction to the number of options exercised.