Madden Steven H's Form 4 filing
SMG Industries Inc. (SMGI) · filed May 19, 2022
- Accession no.
- 0001104659-22-062969
- Filed
- May 19, 2022, 5:25 PM ET
- Trade date
- Nov 14, 2021-Mar 3, 2022
- Filing delay
- 186 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 8 non-derivative transactions and 3 derivative transactions. It was filed 186 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 14, 2021 | Common Stock, par value $.001 | PPurchaseAcquired | +300,000 | –F1 | – | 6,515,118 | Direct | |
| Dec 14, 2021 | Common Stock, par value $.001 | PPurchaseAcquired | +375,000 | –F1 | – | 6,890,118 | Direct | |
| Dec 23, 2021 | Common Stock, par value $.001 | PPurchaseAcquired | +375,000 | –F2 | – | 7,265,118 | Direct | |
| Dec 31, 2021 | Common Stock, par value $.001 | PPurchaseAcquired | +194,108 | –F1 | – | 7,459,236 | Direct | |
| Feb 11, 2022 | Common Stock, par value $.001 | PPurchaseAcquired | +142,538 | –F2 | – | 7,601,764 | Direct | |
| Feb 14, 2022 | Common Stock, par value $.001 | PPurchaseAcquired | +375,000 | –F2 | – | 7,976,764 | Direct | |
| Mar 3, 2022 | Common Stock, par value $.001 | PPurchaseAcquired | +675,000 | –F2 | – | 8,651,764 | Direct | |
| Jan 6, 2022 | Common Stock, par value $.001 | PPurchaseAcquired | +750,000 | –F3 | – | 1,299,000 | Indirect |
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 |
|---|---|---|---|---|---|---|---|---|
| Nov 14, 2021 | Common Stock | PPurchaseAcquired | +2,000,000 | $200,000.00 | – | – | Direct | Price outlier |
| Dec 14, 2021 | Common Stock | PPurchaseAcquired | +2,500,000 | $250,000.00 | – | – | Direct | Price outlier |
| Dec 31, 2021 | Common Stock | PPurchaseAcquired | +1,294,050 | $129,405.00 | – | – | 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.
- F2
Issued as bonus shares in connection with the purchase of non-convertible notes from the Issuer.
Referenced by the price of 4 transactions in Table I.
- F3
APEX Heritage participated in a loan to the Issuer in February 2020, the shares issued in connection with such loan were distributed to APEX Heritage in January 2022, prior thereto APEX Heritage did not have voting or dispositive control over the shares.
Referenced by the price of 1 transaction in Table I.