Smith Christopher M's Form 4 filing
Ortho Clinical Diagnostics Holdings plc (OCDX) · filed Jan 5, 2022
- Accession no.
- 0001209191-22-001678
- Filed
- Jan 5, 2022
- Trade date
- Jan 3, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 2 non-derivative transactions and 1 derivative transaction. Open-market sales total $2.11M. 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 Christopher MCIK 0001436707 | Director, Officer (Chairman and CEO) |
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 |
|---|---|---|---|---|---|---|---|---|
| Jan 3, 2022 | Ordinary Shares, $0.00001 par value | MOption exerciseAcquired | +100,000 | $12.56 | +$1,256,000 | 467,360 | Direct | |
| Jan 3, 2022 | Ordinary Shares, $0.00001 par value | SSaleDisposed | −100,000 | $21.10F2,F3 | −$2,110,000 | 367,360 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jan 3, 2022 | Ordinary Shares, $0.00001 par value | MOption exerciseDisposed | −100,000 | $0.00 | $0 | 935,710 | 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 1 transaction in Table I.
- F3
Represents the weighted average sales price for the price increments ranging from $21.0000 to $21.4000
Referenced by the price of 1 transaction in Table I.