Barron Gerard's Form 4/A amendment
AmendedTMC the metals Co Inc. (TMC) · filed Apr 5, 2023
- Accession no.
- 0001104659-23-042163
- Filed
- Apr 5, 2023
- Rule 10b5-1 plan
- Not checked
- Original filed
- Mar 29, 2023
This filing lists no transactions. It carries over 1 transaction from the original filing that it did not restate. Open-market purchases total $24.9K.
This amendment restates part of 0001104659-23-038274 (filed Mar 29, 2023). The transactions it did not restate still count and are listed below.
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 |
|---|---|
| Barron GerardCIK 0001878772 | Director, Officer (Chief Executive Officer) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
This filing has no transactions of this kind.
Carried over from the original filing
This amendment restates only part of the original filing. The original's other transactions still stand, and the trade tables on Livermore count them under this amendment.
From 0001104659-23-038274 (filed Mar 29, 2023).
Non-derivative securities (Table I)
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Mar 28, 2023 | Common Shares | PPurchaseAcquired | +35,000 | $0.71F1 | +$24,850 | 15,497,489 | Direct |
Footnotes on the original
The footnotes that the prices of these transactions refer to on the original filing.
- F1
The price reflects the average purchase price of the common shares bought. 1,666 of the common shares were purchased at $0.7131 per common share and 33,334 of the common shares were purchased at $0.7144 per common share.
Referenced by the price of 1 transaction in Table I.
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
On March 29, 2023, the Reporting Person filed a Form 4 (the "Initial Form 4") which inadvertently reported that the Reporting Person owned 15,497,489 common shares, whereas, as of the filing of the Initial Form 4, the Reporting Person actually owned 17,319,616 common shares as reported in this amendment, including an aggregate 1,822,127 common shares underlying restricted stock units awarded to the Reporting Person on March 20, 2023, reported on a Form 4 filed by the Reporting Person on April 4, 2023, that were inadvertently excluded from the previous ownership amount in the Initial Form 4.