Chen John S's Form 4 filing
BLACKBERRY Ltd (BB) · filed Nov 5, 2021
- Accession no.
- 0001070235-21-000127
- Filed
- Nov 5, 2021
- Trade date
- Nov 3, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions and 2 derivative transactions. Open-market sales total $24.8M. It was filed 2 days after the trade.
This filing was later replaced by the amendment 0001070235-22-000028 (Feb 10, 2022). Trade tables on this site use the amended version.
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 |
|---|---|
| Chen John SCIK 0001082030 | Director, Officer (Executive Chairman & 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 3, 2021 | Common Shares | MOption exerciseAcquired | +1,000,000 | –F1 | – | 5,225,188 | Direct | |
| Nov 3, 2021 | Common Shares | MOption exerciseAcquired | +3,000,000 | –F1 | – | 8,225,188 | Direct | |
| Nov 3, 2021 | Common Shares | SSaleDisposed | −2,222,844 | $11.14F3 | −$24,762,482.16 | 6,002,344 | 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.
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
Each unit represents a contingent right to receive one common share or an equivalent amount of cash, or a combination of the two, at the discretion of BlackBerry Limited ("BlackBerry").
Referenced by the price of 2 transactions in Table I and 2 transactions in Table II.
- F3
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.90 to $11.73, exclusive of any fees, commissions or other expenses. The Reporting Person undertakes to provide BlackBerry, any shareholder of BlackBerry, or the Staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.