Karp Alexander C.'s Form 4 filing
Palantir Technologies Inc. (PLTR) · filed Nov 18, 2021
- Accession no.
- 0001209191-21-065688
- Filed
- Nov 18, 2021
- Trade date
- Nov 16-18, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 7 non-derivative transactions and 9 derivative transactions. Open-market sales total $42.9M. 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 |
|---|---|
| Karp Alexander C.CIK 0001823951 | Director, Officer (See Remarks) |
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 16, 2021 | Class A Common Stock | CConversionAcquired | +638,629 | –F2 | – | 7,070,887 | Direct | |
| Nov 16, 2021 | Class A Common Stock | SSaleDisposed | −638,629 | $22.91F3 | −$14,630,990.39 | 6,432,258 | Direct | |
| Nov 17, 2021 | Class A Common Stock | CConversionAcquired | +638,629 | –F2 | – | 7,070,887 | Direct | |
| Nov 17, 2021 | Class A Common Stock | SSaleDisposed | −638,629 | $22.66F5 | −$14,471,333.14 | 6,432,258 | Direct | |
| Nov 18, 2021 | Class A Common Stock | CConversionAcquired | +638,629 | –F2 | – | 7,070,887 | Direct | |
| Nov 18, 2021 | Class A Common Stock | SSaleDisposed | −631,790 | $21.66F7 | −$13,684,571.4 | 6,439,097 | Direct | |
| Nov 18, 2021 | Class A Common Stock | SSaleDisposed | −6,839 | $22.46F8 | −$153,603.94 | 6,432,258 | 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 16, 2021 | Class B Common Stock | MOption exerciseDisposed | −638,629 | $0.00 | $0 | 3,193,121 | Direct | |
| Nov 16, 2021 | Class A Common Stock | MOption exerciseAcquired | +638,629 | $0.00 | $0 | 44,695,551 | Direct | |
| Nov 16, 2021 | Class A Common Stock | CConversionDisposed | −638,629 | $0.00 | $0 | 44,056,922 | Direct | |
| Nov 17, 2021 | Class B Common Stock | MOption exerciseDisposed | −638,629 | $0.00 | $0 | 2,554,492 | Direct | |
| Nov 17, 2021 | Class A Common Stock | MOption exerciseAcquired | +638,629 | $0.00 | $0 | 44,695,551 | Direct | |
| Nov 17, 2021 | Class A Common Stock | CConversionDisposed | −638,629 | $0.00 | $0 | 44,056,922 | Direct | |
| Nov 18, 2021 | Class B Common Stock | MOption exerciseDisposed | −638,629 | $0.00 | $0 | 1,915,863 | Direct | |
| Nov 18, 2021 | Class A Common Stock | MOption exerciseAcquired | +638,629 | $0.00 | $0 | 44,695,551 | Direct | |
| Nov 18, 2021 | Class A Common Stock | CConversionDisposed | −638,629 | $0.00 | $0 | 44,056,922 | 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 Class B Common Stock is convertible into the Issuer's Class A Common Stock on a 1-for-1 basis and has no expiration date.
Referenced by the price of 3 transactions in Table I.
- F3
This transaction represents sales executed in multiple open market sales. The sales reflected in this line item were made at prices ranging from $22.61 to $23.24. The price reported above reflects the weighted average sale price of trades occurring within that price range. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate sale price.
Referenced by the price of 1 transaction in Table I.
- F5
This transaction represents sales executed in multiple open market sales. The sales reflected in this line item were made at prices ranging from $22.41 to $23.21. The price reported above reflects the weighted average sale price of trades occurring within that price range. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate sale price.
Referenced by the price of 1 transaction in Table I.
- F7
This transaction represents sales executed in multiple open market sales. The sales reflected in this line item were made at prices ranging from $21.36 to $22.34. The price reported above reflects the weighted average sale price of trades occurring within that price range. See footnote (8) for sales executed in other price ranges on the date indicated. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate sale price.
Referenced by the price of 1 transaction in Table I.
- F8
This transaction represents sales executed in multiple open market sales. The sales reflected in this line item were made at prices ranging from $22.38 to $22.55. The price reported above reflects the weighted average sale price of trades occurring within that price range. See footnote (7) for sales executed in other price ranges on the date indicated. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate sale price.
Referenced by the price of 1 transaction in Table I.
Remarks
Officer title: Chief Executive Officer