Madden Steven H's Form 4 filing
SMG Industries Inc. (SMGI) · filed Nov 22, 2021
- Accession no.
- 0001104659-21-142676
- Filed
- Nov 22, 2021, 7:00 PM ET
- Trade date
- Mar 31-Sep 30, 2021
- Filing delay
- 236 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 12 non-derivative transactions and 12 derivative transactions. It was filed 236 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 |
|---|---|
| Madden Steven HCIK 0001839731 | Director, Officer (Chief Transition Officer), 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 |
|---|---|---|---|---|---|---|---|---|
| Mar 31, 2021 | Common Stock, par value $.001 | PPurchaseAcquired | +168,107 | –F1 | – | 2,093,173 | Direct | |
| Apr 14, 2021 | Common Stock, par value $.001 | PPurchaseAcquired | +450,000 | –F1 | – | 2,543,173 | Direct | |
| Apr 30, 2021 | Common Stock, par value $.001 | PPurchaseAcquired | +292,500 | –F1 | – | 2,835,673 | Direct | |
| May 24, 2021 | Common Stock, par value $.001 | PPurchaseAcquired | +390,000 | –F1 | – | 3,225,673 | Direct | |
| Jun 22, 2021 | Common Stock, par value $.001 | PPurchaseAcquired | +225,000 | –F1 | – | 3,450,673 | Direct | |
| Jul 1, 2021 | Common Stock, par value $.001 | PPurchaseAcquired | +144,087 | –F1 | – | 3,594,760 | Direct | |
| Jul 12, 2021 | Common Stock, par value $.001 | PPurchaseAcquired | +300,000 | –F1 | – | 3,894,760 | Direct | |
| Aug 20, 2021 | Common Stock, par value $.001 | PPurchaseAcquired | +300,000 | –F1 | – | 4,194,760 | Direct | |
| Aug 30, 2021 | Common Stock, par value $.001 | PPurchaseAcquired | +213,750 | –F1 | – | 4,408,510 | Direct | |
| Sep 2, 2021 | Common Stock, par value $.001 | PPurchaseAcquired | +1,200,000 | –F1 | – | 5,608,510 | Direct | |
| Sep 24, 2021 | Common Stock, par value $.001 | PPurchaseAcquired | +412,500 | –F1 | – | 6,021,010 | Direct | |
| Sep 30, 2021 | Common Stock, par value $.001 | PPurchaseAcquired | +194,108 | –F1 | – | 6,215,118 | 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 |
|---|---|---|---|---|---|---|---|---|
| Mar 31, 2021 | Common Stock | AGrant or awardAcquired | +1,120,710 | $112,071.00 | – | 987,071 | Direct | Price outlier |
| Apr 14, 2021 | Common Stock | AGrant or awardAcquired | +3,000,000 | $300,000.00 | – | 1,287,071 | Direct | Price outlier |
| Apr 30, 2021 | Common Stock | AGrant or awardAcquired | +1,950,000 | $195,000.00 | – | 1,482,071 | Direct | Price outlier |
| May 24, 2021 | Common Stock | AGrant or awardAcquired | +2,600,000 | $260,000.00 | – | 1,742,071 | Direct | Price outlier |
| Jun 22, 2021 | Common Stock | AGrant or awardAcquired | +1,500,000 | $150,000.00 | – | 1,892,071 | Direct | Price outlier |
| Jul 1, 2021 | Common Stock | AGrant or awardAcquired | +960,580 | $96,058.00 | – | 1,988,129 | Direct | Price outlier |
| Jul 12, 2021 | Common Stock | AGrant or awardAcquired | +2,000,000 | $200,000.00 | – | 2,188,129 | Direct | Price outlier |
| Aug 20, 2021 | Common Stock | AGrant or awardAcquired | +2,000,000 | $200,000.00 | – | 2,388,129 | Direct | Price outlier |
| Aug 30, 2021 | Common Stock | AGrant or awardAcquired | +1,425,000 | $142,500.00 | – | 2,530,629 | Direct | Price outlier |
| Sep 2, 2021 | Common Stock | AGrant or awardAcquired | +8,000,000 | $800,000.00 | – | 3,330,629 | Direct | Price outlier |
| Sep 24, 2021 | Common Stock | AGrant or awardAcquired | +2,750,000 | $275,000.00 | – | 3,605,629 | Direct | Price outlier |
| Sep 30, 2021 | Common Stock | AGrant or awardAcquired | +1,294,050 | $129,405.00 | – | 3,735,034 | 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.
- F1
Issued as bonus shares in connection with the purchase of convertible notes from the Issuer.
Referenced by the price of 12 transactions in Table I.