SOL Global Investments Corp.'s Form 4 filing
Simply, Inc. (SIMP) · filed Dec 6, 2021
- Accession no.
- 0001062993-21-012242
- Filed
- Dec 6, 2021
- Trade date
- Oct 21-Nov 5, 2021
- Filing delay
- 46 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 4 derivative transactions. It was filed 46 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 |
|---|---|
| SOL Global Investments Corp.CIK 0001710138 | 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
This filing has no transactions of this kind.
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 |
|---|---|---|---|---|---|---|---|---|
| Oct 21, 2021 | Convertible Note | PPurchaseAcquired | +300,000 | $750,000.00F5 | +$225,000,000,000 | 2,600,000 | Direct | Price outlier |
| Oct 21, 2021 | Warrants | PPurchaseAcquired | +300,000 | $750,000.00F5 | +$225,000,000,000 | 2,600,000 | Direct | Price outlier |
| Nov 5, 2021 | Convertible Note | PPurchaseAcquired | +200,000 | $500,000.00F6 | +$100,000,000,000 | 2,600,000 | Direct | Price outlier |
| Nov 5, 2021 | Warrants | PPurchaseAcquired | +200,000 | $500,000.00F6 | +$100,000,000,000 | 2,600,000 | Direct | Price outlier |
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.
- F5
The aggregate consideration for the Issuers entry into Convertible Note 1 and Warrant Agreement 1, which were part of a single transaction, was $750,000.
Referenced by the price of 2 transactions in Table II.
- F6
The aggregate consideration for the Issuers entry into Convertible Note 2 and Warrant Agreement 2, which were part of a single transaction, was $500,000.
Referenced by the price of 2 transactions in Table II.