Gupta Navdeep's Form 4/A amendment
AmendedDick's Sporting Goods, Inc. (DKS) · filed Feb 16, 2022
- Accession no.
- 0001089063-22-000009
- Filed
- Feb 16, 2022
- Trade date
- Dec 29, 2021
- Filing delay
- 49 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Dec 30, 2021
This filing lists 4 non-derivative transactions and 4 derivative transactions. It carries over 1 transaction from the original filing that it did not restate. Open-market sales total $2.03M. It was filed 49 days after the trade.
This amendment restates part of 0001089063-21-000125 (filed Dec 30, 2021). The transactions it did not restate still count and are listed below.
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 |
|---|---|
| Gupta NavdeepCIK 0001772409 | Officer (EVP, Chief Financial Officer) |
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 29, 2021 | Common Stock, par value $0.01 per share | MOption exerciseAcquired | +12,243 | $23.40F1 | +$286,486.2 | 101,851 | Direct | |
| Dec 29, 2021 | Common Stock, par value $0.01 per share | MOption exerciseAcquired | +7,878 | $28.31F1 | +$223,026.18 | 109,729 | Direct | |
| Dec 29, 2021 | Common Stock, par value $0.01 per share | MOption exerciseAcquired | +7,102 | $32.77F1 | +$232,732.54 | 116,831 | Direct | |
| Dec 29, 2021 | Common Stock, par value $0.01 per share | MOption exerciseAcquired | +16,210 | $11.31F1 | +$183,335.1 | 133,041 | 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 |
|---|---|---|---|---|---|---|---|---|
| Dec 29, 2021 | Common Stock, par value $0.01 per share | MOption exerciseDisposed | −12,243 | $0.00 | $0 | 0 | Direct | |
| Dec 29, 2021 | Common Stock, par value $0.01 per share | MOption exerciseDisposed | −7,878 | $0.00 | $0 | 2,627 | Direct | |
| Dec 29, 2021 | Common Stock, par value $0.01 per share | MOption exerciseDisposed | −7,102 | $0.00 | $0 | 7,103 | Direct | |
| Dec 29, 2021 | Common Stock, par value $0.01 per share | MOption exerciseDisposed | −16,210 | $0.00 | $0 | 48,631 | Direct |
Carried over from the original filing
This amendment restates only part of the original filing. The original's other transactions still stand, and the trade tables on Livermore count them under this amendment.
From 0001089063-21-000125 (filed Dec 30, 2021).
Non-derivative securities (Table I)
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Dec 29, 2021 | Common Stock, par value $0.01 per share | SSaleDisposed | −18,947 | $107.15F2 | −$2,030,171.05 | 114,094 | Direct |
Footnotes on the original
The footnotes that the prices of these transactions refer to on the original filing.
- F2
Represents the weighted average price of multiple transactions ranging from $107.08 to $107.60. The reporting person undertakes to provide full information regarding the number of shares sold at each separate price upon request by the SEC staff, the Company or any security holder of the Company.
Referenced by the price of 1 transaction in Table I.
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 original filing reflected the grant date exercise price of the stock option award, and did not reflect the automatic exercise price adjustment required under the terms of the Company's Amended and Restated 2012 Stock and Incentive Plan, triggered following the payment of a special cash dividend in September of 2021. This amended filing includes the adjusted exercise price.
Referenced by the price of 4 transactions in Table I.
- F2
The stock option award representing the right to purchase 12,243 shares of common stock vested in four equal annual installments beginning on December 3, 2018.
- F3
The stock option award representing the right to purchase 10,505 shares of common stock vests in four equal installments beginning on April 3, 2019.
- F4
The stock option award representing the right to purchase 14,205 shares of common stock vests in four equal installments beginning on April 3, 2020.
- F5
The stock option award representing the right to purchase 64,841 shares of common stock vests in four equal installments beginning on March 22, 2021.