Wynnefield Partners Small Cap Value LP's Form 4 filing
NOS4-1, Inc. (WLMS) · filed Sep 2, 2022
- Accession no.
- 0001104659-22-097508
- Filed
- Sep 2, 2022, 4:15 PM ET
- Trade date
- Aug 31-Sep 1, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 4 non-derivative transactions. Open-market purchases total $5.24K. It was filed 2 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 |
|---|---|
| Wynnefield Partners Small Cap Value LPCIK 0000899083 | 10% Owner |
| Obus NelsonCIK 0001017043 | 10% Owner |
| Wynnefield Small Cap Value Offshore Fund LtdCIK 0001030806 | 10% Owner |
| Wynnefield Capital Management LLCCIK 0001056835 | 10% Owner |
| Wynnefield Partners Small Cap Value LP ICIK 0001251565 | 10% Owner |
| Wynnefield Capital IncCIK 0001251567 | 10% Owner |
| Landes JoshuaCIK 0001251568 | 10% Owner |
| Wynnefield Capital, Inc. Profit Sharing PlanCIK 0001289453 | 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 |
|---|---|---|---|---|---|---|---|---|
| Aug 31, 2022 | Common Stock, par value $0.01 per share (the "Common Stock") | PPurchaseAcquired | +464 | $1.65 | +$765.6 | 2,508,402 | Direct | |
| Aug 31, 2022 | Common Stock | PPurchaseAcquired | +487 | $1.65 | +$803.55 | 3,950,705 | Indirect | |
| Sep 1, 2022 | Common Stock | PPurchaseAcquired | +1,086 | $1.65 | +$1,791.9 | 2,509,488 | Direct | |
| Sep 1, 2022 | Common Stock | PPurchaseAcquired | +1,139 | $1.65 | +$1,879.35 | 3,951,844 | Indirect |
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.
No transaction price on this filing refers to a footnote.
Remarks
Each of the Reporting Owners identified in this statement disclaims beneficial ownership of the securities described in this statement, except to the extent of their individual respective pecuniary interest in such securities. The filing of this statement shall not be deemed an admission that any of the Reporting Owners identified in this statement are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any securities specified in this statement other than those directly beneficially owned by them.