Kavanagh Terence Michael's Form 4/A amendment
AmendedKINGSWAY Corp (KWY) · filed Mar 31, 2023
- Accession no.
- 0001127602-23-011690
- Filed
- Mar 31, 2023
- Trade date
- Mar 23, 2023
- Filing delay
- 8 days
- Rule 10b5-1 plan
- Not checked
- Original filed
- Mar 27, 2023
This filing lists 1 non-derivative transaction and 1 derivative transaction. It carries over 6 transactions from the original filing that it did not restate. Open-market purchases total $71.2K. Open-market sales total $70.7K. It was filed 8 days after the trade.
This amendment restates part of 0001127602-23-011401 (filed Mar 27, 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 |
|---|---|
| Kavanagh Terence MichaelCIK 0001538185 | Director |
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 23, 2023 | Common Stock | XIn-the-money exerciseAcquired | +463,394 | $5.00 | +$2,316,970 | 2,576,695 | Indirect | Duplicate filing |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Mar 23, 2023 | Common Stock | XIn-the-money exerciseDisposed | −463,394 | $0.00 | $0 | 0 | Indirect | Duplicate filing |
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 0001127602-23-011401 (filed Mar 27, 2023).
Non-derivative securities (Table I)
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Mar 23, 2023 | Common Stock | SSaleDisposed | −6,000 | $8.96 | −$53,760 | 0 | Indirect | |
| Mar 23, 2023 | Common Stock | PPurchaseAcquired | +6,000 | $9.05 | +$54,300 | 32,875 | Indirect | |
| Mar 23, 2023 | Common Stock | SSaleDisposed | −1,750 | $9.02 | −$15,785 | 0 | Direct | |
| Mar 23, 2023 | Common Stock | PPurchaseAcquired | +1,750 | $9.02 | +$15,785 | 34,625 | Indirect | |
| Mar 23, 2023 | Common Stock | SSaleDisposed | −125 | $9.03 | −$1,128.75 | 0 | Indirect | |
| Mar 23, 2023 | Common Stock | PPurchaseAcquired | +125 | $9.01 | +$1,126.25 | 34,750 | Indirect |
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 reporting person is amending the Form 4 originally filed to report this Warrant exercise that also occurred on March 23, 2023.