Smith Philip Andrew's Form 4 filing
StoneX Group Inc. (SNEX) · filed Dec 13, 2021
- Accession no.
- 0000913760-21-000207
- Filed
- Dec 13, 2021
- Trade date
- Dec 9-10, 2021
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 4 non-derivative transactions and 2 derivative transactions. Open-market sales total $911.6K. It was filed 4 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 |
|---|---|
| Smith Philip AndrewCIK 0001569789 | Other: CEO - subsidiary entity |
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 |
|---|---|---|---|---|---|---|---|---|
| Dec 9, 2021 | Common | MOption exerciseAcquired | +7,500 | $25.91 | +$194,325 | 160,972 | Direct | |
| Dec 9, 2021 | Common | SSaleDisposed | −7,500 | $61.64F2 | −$462,300 | 153,472 | Direct | |
| Dec 10, 2021 | Common | MOption exerciseAcquired | +7,500 | $25.91 | +$194,325 | 160,972 | Direct | |
| Dec 10, 2021 | Common | SSaleDisposed | −7,500 | $59.91F2 | −$449,325 | 153,472 | 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 |
|---|---|---|---|---|---|---|---|---|
| Dec 9, 2021 | Common Stock | MOption exerciseDisposed | −7,500 | $0.00 | $0 | 107,500 | Direct | |
| Dec 10, 2021 | Common Stock | MOption exerciseDisposed | −7,500 | $0.00 | $0 | 100,000 | 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.
- F2
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 2 transactions in Table I.