Franz Keith S's Form 4 filing
CION Investment Corp (CICB) · filed Nov 26, 2021
- Accession no.
- 0001104659-21-143825
- Filed
- Nov 26, 2021
- Trade date
- Nov 23-24, 2021
- Filing delay
- 3 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 2 non-derivative transactions. Open-market purchases total $208.8K. It was filed 3 days after the trade.
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 |
|---|---|
| Franz Keith SCIK 0001553169 | Officer (CFO & Treasurer) |
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 |
|---|---|---|---|---|---|---|---|---|
| Nov 23, 2021 | Common stock, $0.001 par value | PPurchaseAcquired | +5,000 | $13.50 | +$67,500 | 5,000 | Direct | |
| Nov 24, 2021 | Common stock, $0.001 par value | PPurchaseAcquired | +10,000 | $14.13F2 | +$141,300 | 15,000 | Direct |
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.
- F2
Represents the weighted average purchase price per share. The shares were purchased at prices ranging from $14.06 to $14.17 per share. Full information regarding the number of shares purchased at each price shall be provided upon request to the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer.
Referenced by the price of 1 transaction in Table I.