Westphal Jeffery's Form 4/A amendment
AmendedVertex, Inc. (VERX) · filed Sep 19, 2023
- Accession no.
- 0001104659-23-102045
- Filed
- Sep 19, 2023
- Trade date
- Jul 12, 2023
- Filing delay
- 69 days
- Rule 10b5-1 plan
- Not checked
- Original filed
- Jul 14, 2023
This filing lists 1 non-derivative transaction. It carries over 2 transactions from the original filing that it did not restate. Open-market sales total $6.12M. It was filed 69 days after the trade.
This amendment restates part of 0001104659-23-081322 (filed Jul 14, 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 |
|---|---|
| Westphal JefferyCIK 0001818851 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jul 12, 2023 | Class A Common Stock | SSaleDisposed | −80,618 | $18.90F2 | −$1,523,680.2 | 5,584,379 | Indirect |
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 0001104659-23-081322 (filed Jul 14, 2023).
Non-derivative securities (Table I)
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jul 13, 2023 | Class A Common Stock | SSaleDisposed | −155,146 | $18.91F2 | −$2,933,810.86 | 5,673,417 | Indirect | |
| Jul 14, 2023 | Class A Common Stock | SSaleDisposed | −89,236 | $18.66F3 | −$1,665,143.76 | 5,584,181 | Indirect |
Footnotes on the original
The footnotes that the prices of these transactions refer to on the original filing.
- F2
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.625 to $19.12.
Referenced by the price of 1 transaction in Table I.
- F3
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.60 to $19.00.
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 July 14, 2023, the Reporting Person filed a Form 4 which inadvertently stated that the amount of securities sold on July 12, 2023 was 80,816 shares of Class A Common Stock, rather than 80,618 shares of Class A Common Stock. This amendment reports the correct amount of securities sold on July 12, 2023.
- F2
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.80 to $19.05.
Referenced by the price of 1 transaction in Table I.
- F3
The total amount of shares of Class A Common Stock reported in column 5 reflects the Reporting Person's beneficial ownership as of September 19, 2023.
- F4
Represents shares held by The 2009 Jeffrey R. Westphal Generation-Skipping Sub-Trust for Jenifer R. Westphal, of which the Reporting Person's spouse is trustee.