Casey Michael Dennis's Form 4 filing
Carters Inc (CRI) · filed Nov 23, 2021
- Accession no.
- 0001060822-21-000067
- Filed
- Nov 23, 2021
- Trade date
- Nov 22, 2021
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions and 1 derivative transaction. Open-market sales total $3.11M. It was filed 1 day 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 |
|---|---|
| Casey Michael DennisCIK 0001267872 | Director, Officer (Chairman and CEO) |
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 |
|---|---|---|---|---|---|---|---|---|
| Nov 22, 2021 | Common Stock | MOption exerciseAcquired | +17,500 | $42.61F1 | +$745,675 | 448,910 | Direct | |
| Nov 22, 2021 | Common Stock | SSaleDisposed | −17,500 | $105.45F1,F3 | −$1,845,375 | 431,410 | Direct | |
| Nov 22, 2021 | Common Stock | SSaleDisposed | −12,072 | $104.41F1,F4 | −$1,260,437.52 | 419,338 | 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 22, 2021 | Common Stock | MOption exerciseDisposed | −17,500 | $0.00 | $0 | 17,500 | 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 transaction reported in this Form 4 was effectuated pursuant to a Rule 10b5-1 trading plan
Referenced by the price of 3 transactions in Table I.
- F3
This is a weighted average price. The shares were sold in multiple trade executions at prices ranging from $104.71 to $107.50 inclusive. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price.
Referenced by the price of 1 transaction in Table I.
- F4
This is a weighted average price. The shares were sold in multiple trade executions at prices ranging from $104.15 to $105.00 inclusive. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price.
Referenced by the price of 1 transaction in Table I.