Jackson Rex S's Form 4/A amendment
AmendedChargePoint Holdings, Inc. (CHPT) · filed Nov 14, 2022
- Accession no.
- 0001140361-22-041526
- Filed
- Nov 14, 2022
- Trade date
- Nov 10, 2022
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Sep 23, 2022
This filing lists 1 non-derivative transaction and 1 derivative transaction. It carries over 2 transactions from the original filing that it did not restate. Open-market sales total $240.1K. It was filed 4 days after the trade.
This amendment restates part of 0000899243-22-031914 (filed Sep 23, 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 |
|---|---|
| Jackson Rex SCIK 0001249803 | Officer (Chief Financial Officer) |
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 |
|---|---|---|---|---|---|---|---|---|
| Nov 10, 2022 | Common Stock | XIn-the-money exerciseAcquired | +87,821 | $6.03 | +$529,560.63 | 197,335 | Indirect |
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 |
|---|---|---|---|---|---|---|---|---|
| Nov 10, 2022 | Common Stock | XIn-the-money exerciseDisposed | −87,821 | $0.00 | $0 | 0 | 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 0000899243-22-031914 (filed Sep 23, 2022).
Non-derivative securities (Table I)
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Sep 21, 2022 | Common Stock | SSaleDisposed | −15,005 | $16.00F2 | −$240,080 | 1,113,119 | Direct |
Derivative securities (Table II)
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Sep 22, 2022 | Common Stock | XIn-the-money exerciseDisposed | −87,821 | –F4 | – | 0 | Indirect |
Footnotes on the original
The footnotes that the prices of these transactions refer to on the original filing.
- F2
Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $15.88 to $16.06. The Reporting Person has provided to the issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price within the range.
Referenced by the price of 1 transaction in Table I.
- F4
The Warrant was received in exchange for a warrant to purchase 88,121 shares of common stock of ChargePoint, Inc. in connection with the merger pursuant to the terms of that certain Business Combination Agreement and Plan of Reorganization, dated as of September 23, 2020. The Warrant is held by the Jackson 1997 Trust Dated November 6, 1997 of which the Reporting Person is trustee.
Referenced by the price of 1 transaction in Table II.
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 September 23, 2022, the Reporting Person filed a Form 4 that inadvertently reported the exercise of the Warrant for 87,821 shares of Common Stock on September 22, 2022, but such exercise did not in fact occur until November 10, 2022.
- F2
The shares are held by the Jackson 1997 Trust Dated November 6, 1997 of which the Reporting Person is trustee.