O'Sullivan Anthony's Form 4 filing
TMC the metals Co Inc. (TMC) · filed Apr 5, 2023
- Accession no.
- 0001104659-23-042141
- Filed
- Apr 5, 2023
- Trade date
- Mar 20-30, 2023
- Filing delay
- 16 daysLate
- Rule 10b5-1 plan
- Not checked
This filing lists 5 non-derivative transactions. Open-market sales total $178.8K. It was filed 16 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 |
|---|---|
| O'Sullivan AnthonyCIK 0001874198 | Officer (Chief Development Officer) |
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 |
|---|---|---|---|---|---|---|---|---|
| Mar 20, 2023 | Common Shares | AGrant or awardAcquired | +243,223 | $0.00 | $0 | 555,723 | Direct | |
| Mar 20, 2023 | Common Shares | AGrant or awardAcquired | +200,277 | $0.00 | $0 | 756,000 | Direct | |
| Mar 28, 2023 | Common Shares | SSaleDisposed | −97,393 | $0.72F3 | −$70,122.96 | 658,607 | Direct | |
| Mar 29, 2023 | Common Shares | SSaleDisposed | −85,170 | $0.72F4 | −$61,322.4 | 573,437 | Direct | |
| Mar 30, 2023 | Common Shares | SSaleDisposed | −60,660 | $0.78F5 | −$47,314.8 | 512,777 | 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.
- F3
The price reflects the average selling price of the common shares sold. These common shares were sold in multiple transactions at prices ranging from $0.70 to $0.7801 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.
- F4
The price reflects the average selling price of the common shares sold. These common shares were sold in multiple transactions at prices ranging from $0.7050 to $0.7461 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.
- F5
The price reflects the average selling price of the common shares sold. These common shares were sold in multiple transactions at prices ranging from $0.75 to $0.80 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.