Klein Mark D's Form 4 filing
Neostellar Capital Corp. (NSLR) · filed Dec 7, 2022
- Accession no.
- 0001104659-22-125111
- Filed
- Dec 7, 2022
- Trade date
- Dec 5-6, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 2 non-derivative transactions. Open-market purchases total $133.7K. 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 |
|---|---|
| Klein Mark DCIK 0001322402 | Director, Officer (See Remark) |
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 |
|---|---|---|---|---|---|---|---|---|
| Dec 5, 2022 | Common Stock | PPurchaseAcquired | +1,545 | $3.90 | +$6,025.5 | 974,030 | Direct | |
| Dec 6, 2022 | Common Stock | PPurchaseAcquired | +34,500 | $3.70F2 | +$127,650 | 1,008,530 | 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
The price reported in Column 4 is a weighted-average price, rounded to the nearest hundredth. These shares were purchased in multiple transactions at prices ranging from $3.65 to $3.75 per share, inclusive. The reporting person undertakes to provide upon request by the staff of the Securities and Exchange Commission, SuRo Capital Corp. (the "Company"), or a security holder of the Company full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
Remarks
Chairman, Chief Executive Officer and President