Nomura Securities International Inc's Form 4/A amendment
AmendedMSP Recovery, Inc. (MSPR) · filed Jul 26, 2022
- Accession no.
- 0001140361-22-026968
- Filed
- Jul 26, 2022, 4:00 PM ET
- Trade date
- Jun 1-23, 2022
- Filing delay
- 55 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Jul 14, 2022
This filing lists 4 non-derivative transactions and 7 derivative transactions. It carries over 2 transactions from the original filing that it did not restate. Open-market sales total $26.0K. It was filed 55 days after the trade.
This amendment restates part of 0001140361-22-026013 (filed Jul 14, 2022). 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 |
|---|---|
| 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 | 302,499 | Direct | |
| Jun 16, 2022 | Class A Common Stock | XIn-the-money exerciseAcquired | +50,000 | $0.0001 | +$5 | 352,499 | Direct | |
| Jun 16, 2022 | Class A Common Stock | SSaleDisposed | −5 | $0.0001 | $0 | 352,494 | Direct | |
| Jun 23, 2022 | Class A Common Stock | SSaleDisposed | −9,995 | $2.43 | −$24,287.85 | 342,499 | 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 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 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 |
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 0001140361-22-026013 (filed Jul 14, 2022).
Derivative securities (Table II)
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jun 6, 2022 | Class A Common Stock | SSaleDisposed | −14 | $0.075 | −$1.05 | 16,386,646 | Direct | |
| Jun 10, 2022 | Class A Common Stock | SSaleDisposed | −61,646 | $0.062 | −$3,822.05 | 16,325,000 | 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.
- F1
These securities are owned by Nomura Securities International, Inc. ("NSI"). NSI is a wholly owned indirect subsidiary of Nomura Holdings, Inc. which accordingly may be deemed to beneficially own the shares owned by NSI.
- F2
Represents shares withheld in connection with a cashless exercise of warrants to purchase 50,000 shares of Common Stock at an exercise price of $0.0001 per share.
- F3
Unless earlier redeemed by the Issuer.
- 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.
- F10
This Form 4 amendment is being filed to (1) correct the total number of shares of Class A Common Stock beneficially owned by the Reporting Persons following each transaction reported herein, by adding 164,999 shares that were inadvertently omitted from the original Form 4, and (2) correct the Date Exercisable for the reported Warrants with a $0.0001 strike price.