Frye James E. Jr.'s Form 4 filing
SMG Industries Inc. (SMGI) · filed Nov 22, 2021
- Accession no.
- 0001104659-21-142677
- Filed
- Nov 22, 2021, 7:01 PM ET
- Trade date
- Sep 1-Oct 30, 2021
- Filing delay
- 82 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions and 3 derivative transactions. It was filed 82 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 |
|---|---|
| Frye James E. Jr.CIK 0001848895 | Director, 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 |
|---|---|---|---|---|---|---|---|---|
| Sep 1, 2021 | Common Stock, par value $.001 | PPurchaseAcquired | +264,000 | –F1 | – | 639,000 | Direct | |
| Oct 29, 2021 | Common Stock, par value $.001 | PPurchaseAcquired | +318,000 | –F1 | – | 957,000 | Direct | |
| Oct 30, 2021 | Common Stock, par value $.001 | PPurchaseAcquired | +349,064 | –F1 | – | 1,306,064 | 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 1, 2021 | Common Stock | AGrant or awardAcquired | +1,760,000 | $176,000.00 | – | – | Direct | Price outlier |
| Oct 29, 2021 | Common Stock | AGrant or awardAcquired | +2,120,000 | $212,000.00 | – | – | Direct | Price outlier |
| Oct 30, 2021 | Common Stock | AGrant or awardAcquired | +2,327,090 | $232,709.00 | – | – | 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 3 transactions in Table I.