Walton Alice L's Form 4 filing
Walmart Inc. (WMT) · filed Sep 17, 2021
- Accession no.
- 0001127602-21-025537
- Filed
- Sep 17, 2021
- Trade date
- Sep 16-17, 2021
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 6 non-derivative transactions. Open-market sales total $98.5M. It was filed 1 day 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 |
|---|---|
| Walton Alice LCIK 0001013440 | 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 |
|---|---|---|---|---|---|---|---|---|
| Sep 16, 2021 | Common Stock | JOtherDisposed | −70,000 | $0.00F1 | $0 | 313,046,068 | Indirect | Duplicate filing |
| Sep 16, 2021 | Common Stock | SSaleDisposed | −173,571 | $145.09F2 | −$25,183,416.39 | 312,872,497 | Indirect | Duplicate filing |
| Sep 17, 2021 | Common Stock | JOtherDisposed | −520,000 | $0.00F3 | $0 | 312,352,497 | Indirect | Duplicate filing |
| Sep 17, 2021 | Common Stock | SSaleDisposed | −244,032 | $144.69F4 | −$35,308,990.08 | 312,108,465 | Indirect | Duplicate filing |
| Sep 17, 2021 | Common Stock | SSaleDisposed | −261,297 | $145.54F5 | −$38,029,165.38 | 311,847,168 | Indirect | Duplicate filing |
| Sep 17, 2021 | Common Stock | SSaleDisposed | −100 | $146.16F6 | −$14,616 | 311,847,068 | Indirect | Duplicate filing |
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
The transaction is a distribution of 70,000 shares of Common Stock, for no consideration, by the Walton Family Holdings Trust (the "Trust") to a beneficiary of the Trust.
Referenced by the price of 1 transaction in Table I.
- F2
This sale from the Trust was executed in multiple trades at prices ranging from $144.79 to $145.29, inclusive. The price reported above reflects the weighted average sale price. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares and prices at which the transaction was effected.
Referenced by the price of 1 transaction in Table I.
- F3
The transaction is a distribution of 520,000 shares of Common Stock, for no consideration, by the Trust to a beneficiary of the Trust.
Referenced by the price of 1 transaction in Table I.
- F4
This sale from the Trust was executed in multiple trades at prices ranging from $144.14 to $145.135, inclusive. The price reported above reflects the weighted average sale price. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares and prices at which the transaction was effected.
Referenced by the price of 1 transaction in Table I.
- F5
This sale from the Trust was executed in multiple trades at prices ranging from $145.14 to $146.13, inclusive. The price reported above reflects the weighted average sale price. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares and prices at which the transaction was effected.
Referenced by the price of 1 transaction in Table I.
- F6
This sale from the Trust was executed in multiple trades at prices ranging from $146.14 to $146.16, inclusive. The price reported above reflects the weighted average sale price. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares and prices at which the transaction was effected.
Referenced by the price of 1 transaction in Table I.