Yates Robert Clifton's Form 4 filing
Ortho Clinical Diagnostics Holdings plc (OCDX) · filed Aug 4, 2021
- Accession no.
- 0001209191-21-049758
- Filed
- Aug 4, 2021
- Trade date
- Aug 2-4, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 4 non-derivative transactions and 1 derivative transaction. Open-market sales total $7.42M. It was filed 2 days 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 |
|---|---|
| Yates Robert CliftonCIK 0001841149 | 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 |
|---|---|---|---|---|---|---|---|---|
| Aug 2, 2021 | Ordinary Shares, $0.00001 par value | MOption exerciseAcquired | +23,062 | $6.28 | +$144,829.36 | 346,942 | Direct | |
| Aug 2, 2021 | Ordinary Shares, $0.00001 par value | SSaleDisposed | −25,551 | $22.06F2,F3 | −$563,655.06 | 321,391 | Direct | |
| Aug 3, 2021 | Ordinary Shares, $0.00001 par value | SSaleDisposed | −176,149 | $21.59F2,F4 | −$3,803,056.91 | 145,242 | Direct | |
| Aug 4, 2021 | Ordinary Shares, $0.00001 par value | SSaleDisposed | −140,042 | $21.79F2,F5 | −$3,051,515.18 | 5,200 | 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 |
|---|---|---|---|---|---|---|---|---|
| Aug 2, 2021 | Ordinary Shares, $0.00001 par value | MOption exerciseDisposed | −23,062 | $0.00 | $0 | 1,025,225 | 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.
- F2
The Reporting Person undertakes to provide, upon request by the Securities Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price for all transactions reported in this Form 4.
Referenced by the price of 3 transactions in Table I.
- F3
Represents the weighted average sales price for the price increments ranging from $21.65 to $22.51.
Referenced by the price of 1 transaction in Table I.
- F4
Represents the weighted average sales price for the price increments ranging from $21.18 to $21.94.
Referenced by the price of 1 transaction in Table I.
- F5
Represents the weighted average sales price for the price increments ranging from $21.51 to $21.92.
Referenced by the price of 1 transaction in Table I.