Lichter Stuart's Form 4 filing
CIK 0001708176 · filed Mar 18, 2022
- Accession no.
- 0001209191-22-020174
- Filed
- Mar 18, 2022, 9:59 PM ET
- Trade date
- Mar 1-16, 2022
- Filing delay
- 17 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions and 4 derivative transactions. Open-market purchases total $102.0K. It was filed 17 days after the trade, past the 2-business-day deadline.
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 |
|---|---|
| Lichter StuartCIK 0001685448 | Director, 10% Owner |
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 |
|---|---|---|---|---|---|---|---|---|
| Mar 16, 2022 | Common Stock | PPurchaseAcquired | +100,000 | $1.02 | +$102,000 | 200,000 | Direct | |
| Mar 1, 2022 | Common Stock | AGrant or awardAcquired | +330,000 | – | – | 15,458,379 | Indirect | |
| Mar 1, 2022 | Common Stock | AGrant or awardAcquired | +125,000 | – | – | 125,000 | Indirect |
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 |
|---|---|---|---|---|---|---|---|---|
| Mar 1, 2022 | Common Stock | AGrant or awardAcquired | +1,000,000 | – | – | 1,000,000 | Indirect | |
| Mar 1, 2022 | Convertible Term Loan | AGrant or awardAcquired | – | – | – | – | Indirect | |
| Mar 1, 2022 | Common Stock | AGrant or awardAcquired | +500,000 | – | – | 500,000 | Indirect | |
| Mar 1, 2022 | Convertible Promissory Note | AGrant or awardAcquired | – | – | – | – | Indirect |
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.