Jankowski Jess's Form 4 filing
Solesence, Inc. (SLSN) · filed Jun 17, 2022
- Accession no.
- 0001209191-22-037945
- Filed
- Jun 17, 2022, 5:01 PM ET
- Trade date
- Jun 13-15, 2022
- Filing delay
- 4 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 4 non-derivative transactions and 2 derivative transactions. Open-market sales total $60.9K. It was filed 4 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 |
|---|---|
| Jankowski JessCIK 0001184478 | Director, Officer (President, 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 |
|---|---|---|---|---|---|---|---|---|
| Jun 13, 2022 | Common Stock | MOption exerciseAcquired | +7,800 | $0.30F2 | +$2,340 | 66,800 | Direct | |
| Jun 13, 2022 | Common Stock | SSaleDisposed | −7,800 | $3.00 | −$23,400 | 59,000 | Direct | |
| Jun 15, 2022 | Common Stock | MOption exerciseAcquired | +12,485 | $0.30F2 | +$3,745.5 | 71,485 | Direct | |
| Jun 15, 2022 | Common Stock | SSaleDisposed | −12,485 | $3.00 | −$37,455 | 59,000 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jun 13, 2022 | Common Stock | MOption exerciseDisposed | −63,845 | $0.30 | −$2,340 | 56,045 | Direct | |
| Jun 15, 2022 | Common Stock | MOption exerciseDisposed | −56,045 | $0.30 | −$3,745.5 | 43,560 | 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
These options were set to expire on 08/07/2022. Under the Company's Policy on Insider Trading, all Nanophase employees will enter a blackout period on 06/25/2022, which will not end until three working days after the Company releases Q22022 earnings.
Referenced by the price of 2 transactions in Table I.
Remarks
The June 13, 2022 transaction was not communicated to Mr. Jankowski until June 17th, due to a clerical error. This option grant is set to expire on 08/07/2022. Under the Company's Policy on Insider Trading, all Nanophase employees will enter a blackout period on 06/25/2022, which will not end until three working days after the Company releases Q22022 earnings. The maturity of these rights cannot be extended beyond the IRS statutory limit of ten years.