Chu Chinh's Form 4 filing
Utz Brands, Inc. (UTZ) · filed Nov 16, 2021
- Accession no.
- 0001104659-21-139614
- Filed
- Nov 16, 2021
- Trade date
- Jan 8-Nov 11, 2021
- Filing delay
- 312 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 2 non-derivative transactions and 1 derivative transaction. Open-market sales total $18.4K. It was filed 312 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 |
|---|---|
| Chu ChinhCIK 0001306507 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jan 8, 2021 | Common Stock | XIn-the-money exerciseAcquired | +232,000 | $11.50 | +$2,668,000 | 5,243,150 | Indirect | Duplicate filing |
| Nov 11, 2021 | Common Stock | SSaleDisposed | −1,020 | $18.00F3 | −$18,360 | 5,242,130 | Indirect | Duplicate filing |
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 |
|---|---|---|---|---|---|---|---|---|
| Jan 8, 2021 | Class A Common Stock | XIn-the-money exerciseDisposed | −232,000 | $0.00 | $0 | 0 | Indirect | Duplicate filing |
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.
- F3
The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18 to $18.01. The reporting person undertakes to provide to the Issuer, any security holders of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.