Frank Morgan C.'s Form 4 filing
Modular Medical, Inc. (MODD) · filed Oct 29, 2021
- Accession no.
- 0000919574-21-006530
- Filed
- Oct 29, 2021, 6:43 PM ET
- Trade date
- Jun 30, 2020-May 11, 2021
- Filing delay
- 486 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions and 4 derivative transactions. Open-market purchases total $500.0K. It was filed 486 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.
| Owner | Relationship to the company |
|---|---|
| Frank Morgan C.CIK 0001593072 | Director, 10% Owner |
| Manchester Management Co LLCCIK 0001169253 | 10% Owner, Other: Director by Deputization |
| Manchester Explorer, L.P.CIK 0001411524 | 10% Owner, Other: Director by Deputization |
| Besser James ECIK 0001512127 | 10% Owner, Other: Director by Deputization |
| Manchester Management PR, LLCCIK 0001735534 | 10% Owner, Other: Director by Deputization |
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 |
|---|---|---|---|---|---|---|---|---|
| Jun 30, 2020 | Common Stock, par value $0.001 per share | PPurchaseAcquired | +34,843 | $2.87 | +$99,999.41 | 5,051,409 | Indirect | |
| Jun 30, 2020 | Common Stock, par value $0.001 per share | PPurchaseAcquired | +104,529 | $2.87 | +$299,998.23 | 1,022,105 | Indirect | |
| Nov 30, 2020 | Common Stock, par value $0.001 per share | PPurchaseAcquired | +34,843 | $2.87 | +$99,999.41 | 304,562 | 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 |
|---|---|---|---|---|---|---|---|---|
| Feb 8, 2021 | Convertible Promissory Note | PPurchaseAcquired | +1,000,000 | – | – | 1,000,000 | Indirect | |
| May 11, 2021 | Convertible Promissory Note | DReturned to the companyDisposed | −1,000,000 | – | – | 0 | Indirect | |
| May 11, 2021 | Convertible Promissory Note | AGrant or awardAcquired | +1,000,000 | – | – | 1,000,000 | Indirect | |
| May 11, 2021 | Common Stock Pur-chase Warrant | AGrant or awardAcquired | +379,174 | – | – | 379,174 | Indirect |
Footnotes
Livermore does not store Form 4 footnotes. For price ranges, how indirect holdings are held and trading plan details, read the original on SEC EDGAR.