Smith David Donnan's Form 4 filing
Koss Corp (KOSS) · filed Aug 26, 2021
- Accession no.
- 0001209191-21-053532
- Filed
- Aug 26, 2021
- Trade date
- Aug 24, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 7 non-derivative transactions and 6 derivative transactions. Open-market sales total $1.94M. 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 |
|---|---|
| Smith David DonnanCIK 0001484415 | 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 |
|---|---|---|---|---|---|---|---|---|
| Aug 24, 2021 | Common Stock | MOption exerciseAcquired | +10,000 | $1.97 | +$19,700 | 10,000 | Direct | |
| Aug 24, 2021 | Common Stock | MOption exerciseAcquired | +10,000 | $2.63 | +$26,300 | 20,000 | Direct | |
| Aug 24, 2021 | Common Stock | MOption exerciseAcquired | +48,000 | $3.00 | +$144,000 | 68,000 | Direct | |
| Aug 24, 2021 | Common Stock | MOption exerciseAcquired | +22,000 | $2.57 | +$56,540 | 90,000 | Direct | |
| Aug 24, 2021 | Common Stock | MOption exerciseAcquired | +10,000 | $2.20 | +$22,000 | 100,000 | Direct | |
| Aug 24, 2021 | Common Stock | MOption exerciseAcquired | +10,000 | $1.73 | +$17,300 | 110,000 | Direct | |
| Aug 24, 2021 | Common Stock | SSaleDisposed | −110,000 | $17.64 | −$1,940,400 | 0 | 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 24, 2021 | Common Stock | MOption exerciseDisposed | −10,000 | $0.00 | $0 | 30,000 | Direct | |
| Aug 24, 2021 | Common Stock | MOption exerciseDisposed | −10,000 | $0.00 | $0 | 30,000 | Direct | |
| Aug 24, 2021 | Common Stock | MOption exerciseDisposed | −48,000 | $0.00 | $0 | 0 | Direct | |
| Aug 24, 2021 | Common Stock | MOption exerciseDisposed | −22,000 | $0.00 | $0 | 0 | Direct | |
| Aug 24, 2021 | Common Stock | MOption exerciseDisposed | −10,000 | $0.00 | $0 | 0 | Direct | |
| Aug 24, 2021 | Common Stock | MOption exerciseDisposed | −10,000 | $0.00 | $0 | 40,000 | Direct |
Footnotes
Livermore does not store Form 4 footnotes. For price ranges, how indirect holdings are held and trading plan details, read the original on SEC EDGAR.