Nomura Securities International Inc's Form 4 filing
MSP Recovery, Inc. (MSPR) · filed Jul 14, 2022
- Accession no.
- 0001140361-22-026013
- Filed
- Jul 14, 2022, 4:30 PM ET
- Trade date
- Jun 1-23, 2022
- Filing delay
- 43 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 4 non-derivative transactions and 9 derivative transactions. Open-market sales total $26.0K. It was filed 43 days after the trade, past the 2-business-day deadline.
This filing was later replaced by the amendment 0001140361-22-026968 (Jul 26, 2022). Trade tables on this site use the amended version.
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 |
|---|---|
| Nomura Securities International IncCIK 0000902266 | 10% Owner |
| Nomura Holdings IncCIK 0001163653 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jun 2, 2022 | Class A Common Stock | SSaleDisposed | −1,370 | $1.28 | −$1,753.6 | 137,500 | Direct | |
| Jun 16, 2022 | Class A Common Stock | XIn-the-money exerciseAcquired | +50,000 | $0.0001 | +$5 | 187,500 | Direct | |
| Jun 16, 2022 | Class A Common Stock | SSaleDisposed | −5 | $0.0001 | $0 | 187,495 | Direct | |
| Jun 23, 2022 | Class A Common Stock | SSaleDisposed | −9,995 | $2.43 | −$24,287.85 | 177,500 | Direct |
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 |
|---|---|---|---|---|---|---|---|---|
| Jun 1, 2022 | Class A Common Stock | SSaleDisposed | −75,000 | $0.9075F4 | −$68,062.5 | 202,500 | Direct | |
| Jun 2, 2022 | Class A Common Stock | SSaleDisposed | −25,000 | $1.10F5 | −$27,500 | 177,500 | Direct | |
| Jun 6, 2022 | Class A Common Stock | SSaleDisposed | −14 | $0.075 | −$1.05 | 16,386,646 | Direct | |
| Jun 7, 2022 | Class A Common Stock | SSaleDisposed | −24,700 | $1.13F6 | −$27,938.17 | 152,800 | Direct | |
| Jun 8, 2022 | Class A Common Stock | SSaleDisposed | −13,957 | $1.17F7 | −$16,357.6 | 138,843 | Direct | |
| Jun 10, 2022 | Class A Common Stock | SSaleDisposed | −39,906 | $1.08F8 | −$43,110.45 | 98,937 | Direct | |
| Jun 10, 2022 | Class A Common Stock | SSaleDisposed | −61,646 | $0.062 | −$3,822.05 | 16,325,000 | Direct | |
| Jun 14, 2022 | Class A Common Stock | SSaleDisposed | −21,437 | $1.28F9 | −$27,443.65 | 77,500 | Direct | |
| Jun 16, 2022 | Class A Common Stock | XIn-the-money exerciseDisposed | −50,000 | $0.00 | $0 | 27,500 | 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.
- F4
The price reported in Column 8 is a weighted average price. These warrants were sold in multiple transactions at prices ranging from $0.85 to $1.02, inclusive. The Reporting Persons undertake 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 warrants sold at each separate price within the range set forth herein.
Referenced by the price of 1 transaction in Table II.
- F5
The price reported in Column 8 is a weighted average price. These warrants were sold in multiple transactions at prices ranging from $1.1 to $1.11, inclusive. The Reporting Persons undertake 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 warrants sold at each separate price within the range set forth herein.
Referenced by the price of 1 transaction in Table II.
- F6
The price reported in Column 8 is a weighted average price. These warrants were sold in multiple transactions at prices ranging from $1.13 to $1.14, inclusive. The Reporting Persons undertake 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 warrants sold at each separate price within the range set forth herein.
Referenced by the price of 1 transaction in Table II.
- F7
The price reported in Column 8 is a weighted average price. These warrants were sold in multiple transactions at prices ranging from $1.17 to $1.19, inclusive. The Reporting Persons undertake 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 warrants sold at each separate price within the range set forth herein
Referenced by the price of 1 transaction in Table II.
- F8
The price reported in Column 8 is a weighted average price. These warrants were sold in multiple transactions at prices ranging from $1.08 to $1.1, inclusive. The Reporting Persons undertake 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 warrants sold at each separate price within the range set forth herein.
Referenced by the price of 1 transaction in Table II.
- F9
The price reported in Column 8 is a weighted average price. These warrants were sold in multiple transactions at prices ranging from $1.28 to $1.29, inclusive. The Reporting Persons undertake 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 warrants sold at each separate price within the range set forth herein.
Referenced by the price of 1 transaction in Table II.