Morrisett Michael R.'s Form 4 filing
Empire Petroleum Corp (EP) · filed Sep 30, 2021
- Accession no.
- 0001072613-21-000574
- Filed
- Sep 30, 2021, 6:42 PM ET
- Trade date
- Sep 28, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 4 non-derivative transactions and 2 derivative transactions. Open-market sales total $257.7K. It was filed 2 days 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 |
|---|---|
| Morrisett Michael R.CIK 0001630275 | Director, Officer (President) |
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 |
|---|---|---|---|---|---|---|---|---|
| Sep 28, 2021 | Common Stock | XIn-the-money exerciseAcquired | +200,000 | $0.25 | +$50,000 | 1,893,128 | Direct | |
| Sep 28, 2021 | Common Stock | SSaleDisposed | −200,000 | $0.75 | −$150,000 | 1,693,128 | Direct | |
| Sep 28, 2021 | Common Stock | XIn-the-money exerciseAcquired | +143,600 | $0.33 | +$47,388 | 1,836,728 | Direct | |
| Sep 28, 2021 | Common Stock | SSaleDisposed | −143,600 | $0.75 | −$107,700 | 1,693,128 | 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 |
|---|---|---|---|---|---|---|---|---|
| Sep 28, 2021 | Common Stock | XIn-the-money exerciseDisposed | −200,000 | $0.00 | $0 | 0 | Direct | |
| Sep 28, 2021 | Common Stock | XIn-the-money exerciseDisposed | −143,600 | $0.00 | $0 | 2,356,400 | 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.
No transaction price on this filing refers to a footnote.