Miotto Neil's Form 4 filing
Kaleyra, Inc. (KLR) · filed Jul 2, 2021
- Accession no.
- 0001062993-21-006311
- Filed
- Jul 2, 2021
- Trade date
- Dec 7, 2017-Mar 17, 2021
- Filing delay
- 1,303 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 12 non-derivative transactions and 7 derivative transactions. Open-market purchases total $3.62M. It was filed 1303 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 |
|---|---|
| Miotto NeilCIK 0001390808 | Director, 10% Owner |
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 7, 2017 | Common Stock | PPurchaseAcquired | +356,000 | $10.00F1 | +$3,560,000 | 3,212,607 | Indirect | |
| Jan 9, 2018 | Common Stock | PPurchaseAcquired | +6,368 | $10.00F1 | +$63,680 | 3,218,975 | Indirect | |
| Aug 9, 2019 | Common Stock | JOtherDisposed | −799,600 | –F4 | – | 2,419,375 | Indirect | |
| Aug 9, 2019 | Common Stock | JOtherAcquired | +607,056 | –F4 | – | 607,056 | Indirect | |
| Oct 11, 2019 | Common Stock | JOtherDisposed | −91,347 | –F4 | – | 2,328,028 | Indirect | |
| Oct 11, 2019 | Common Stock | JOtherAcquired | +69,352 | –F4 | – | 676,408 | Indirect | |
| Nov 12, 2019 | Common Stock | JOtherDisposed | −51,750 | –F4 | – | 2,276,278 | Indirect | |
| Nov 12, 2019 | Common Stock | JOtherAcquired | +39,289 | –F4 | – | 715,697 | Indirect | |
| Nov 25, 2019 | Common Stock | MOption exerciseAcquired | +36,237 | –F8 | – | 2,312,515 | Indirect | |
| Dec 1, 2020 | Common Stock | JOtherDisposed | −1,876,612 | $0.00 | $0 | 435,903 | Indirect | |
| Dec 1, 2020 | Common Stock | JOtherDisposed | −715,697 | $0.00 | $0 | 0 | Indirect | |
| Mar 17, 2021 | Common Stock | JOtherDisposed | −435,903 | $0.00 | $0 | 0 | Indirect |
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 7, 2017 | Common Stock | PPurchaseAcquired | +267,000 | $10.00F1 | +$2,670,000 | 267,000 | Indirect | |
| Dec 7, 2017 | Common Stock | PPurchaseAcquired | +35,600 | $10.00F1 | +$3,560,000 | 356,000 | Indirect | |
| Jan 9, 2018 | Common Stock | PPurchaseAcquired | +4,776 | $10.00F1 | +$47,760 | 271,776 | Indirect | |
| Jan 9, 2018 | Common Stock | PPurchaseAcquired | +637 | $10.00F1 | +$63,700 | 362,370 | Indirect | |
| Nov 25, 2019 | Common Stock | MOption exerciseAcquired | +36,237 | $10.00F1 | +$3,623,700 | 0 | Indirect | |
| Feb 11, 2021 | Common Stock | JOtherDisposed | −271,776 | $0.00 | $0 | 0 | Indirect | |
| Feb 11, 2021 | Common Stock | JOtherAcquired | +17,666 | $0.00 | $0 | 17,666 | 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
$10.00 is the price per Private Unit, with each Private Unit consisting of (i) one share of Common Stock, (ii) 3/4ths of a Private Warrant exercisable at price of $11.50 per whole share of Common Stock, and (iii) one Private Right which entitles the holder to receive 1/10th of one share of Common Stock upon the consummation of the Company's business combination.
Referenced by the price of 2 transactions in Table I and 5 transactions in Table II.
- F4
As reported by GigCapital, Inc. ("GigCapital") in its Current Report on Form 8-K as filed with the SEC on August 12, 2019, in connection with the assumption of the obligation to fund additional extension note payments for the third and fourth extension, and the additional working capital needs of GigCapital, a portion of the Common Shares held by the Sponsor were transferred to the three other Founders (as defined in such Form 8-K), GigFounders, and certain other members of the Sponsor.
Referenced by the price of 6 transactions in Table I.
- F8
As previously disclosed, the private rights entitled the holder to receive 1/10th of a share of Common Stock upon consummation of the Company's initial business combination without paying any additional consideration.
Referenced by the price of 1 transaction in Table I.