Barron Gerard's Form 4/A amendment
AmendedTMC the metals Co Inc. (TMC) · filed Nov 23, 2021
- Accession no.
- 0001104659-21-142803
- Filed
- Nov 23, 2021
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Oct 1, 2021
This filing lists no transactions. It carries over 1 transaction from the original filing that it did not restate. Open-market purchases total $149.9K.
This amendment restates part of 0001213900-21-050962 (filed Oct 1, 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 |
|---|---|
| Barron GerardCIK 0001878772 | Director, Officer (Chief Executive Officer) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
This filing has no transactions of this kind.
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 0001213900-21-050962 (filed Oct 1, 2021).
Non-derivative securities (Table I)
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Sep 30, 2021 | Common Shares | PPurchaseAcquired | +34,000 | $4.41F1 | +$149,940 | 14,243,752 | Direct |
Footnotes on the original
The footnotes that the prices of these transactions refer to on the original filing.
- F1
The price reflects the average selling price of the common shares sold. These common shares were sold in multiple transactions at prices ranging from $4.33 to $4.54532 per common share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of common shares sold at each price.
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
On October 1, 2021, the reporting person filed a Form 4 which included a footnote that inadvertently referred to his purchase of common shares as a sale. The footnote should have stated: "The price reflects the average price of the common shares purchased. These common shares were purchased in multiple transactions at prices ranging from $4.33 to $4.54532 per common share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of common shares purchased at each price." The original Form 4 also mistakenly reported that the date of earliest transaction required to be reported was 9/9/2021. In fact, the date of earliest transaction was 9/30/2021.