Seward Gregory W's Form 4 filing
Live Oak Bancshares, Inc. (LOB) · filed Dec 3, 2021
- Accession no.
- 0001209191-21-067869
- Filed
- Dec 3, 2021, 5:02 PM ET
- Trade date
- Dec 1-3, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions and 1 derivative transaction. Open-market sales total $457.5K. 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 |
|---|---|
| Seward Gregory WCIK 0001656656 | Officer (General Counsel) |
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 |
|---|---|---|---|---|---|---|---|---|
| Dec 1, 2021 | Voting Common Stock | MOption exerciseAcquired | +5,000 | $14.55 | +$72,750 | 78,180 | Direct | |
| Dec 1, 2021 | Voting Common Stock | SSaleDisposed | −5,000 | $91.50F1 | −$457,503 | 73,180 | Direct | |
| Dec 3, 2021 | Voting Common Stock | GGiftDisposed | −225 | $0.00 | $0 | 72,955 | 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 |
|---|---|---|---|---|---|---|---|---|
| Dec 1, 2021 | Voting Common Stock | MOption exerciseDisposed | −5,000 | $0.00 | $0 | 25,000 | 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
This transaction was executed in multiple trades at prices ranging from $91.32 to $91.96. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the trades were effected.
Referenced by the price of 1 transaction in Table I.