Plante Paul J's Form 4 filing
Richardson Electronics, Ltd.RELL · filed Nov 14, 2022
- Accession no.
- 0001209191-22-056505
- Filed
- Nov 14, 2022
- Trade date
- Nov 9, 2022
- Filing delay
- 5 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 4 non-derivative transactions and 3 derivative transactions. Open-market sales total $339.3K. It was filed 5 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 |
|---|---|
| Plante Paul JCIK 0001033714 | Director |
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 9, 2022 | Common Stock | MOption exerciseAcquired | +5,000 | $5.87 | +$29,350 | 5,000 | Direct | |
| Nov 9, 2022 | Common Stock | MOption exerciseAcquired | +5,000 | $5.61 | +$28,050 | 10,000 | Direct | |
| Nov 9, 2022 | Common Stock | MOption exerciseAcquired | +5,000 | $4.26 | +$21,300 | 15,000 | Direct | |
| Nov 9, 2022 | Common Stock | SSaleDisposed | −15,000 | $22.62F1 | −$339,300 | 0 | 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 9, 2022 | Common Stock | MOption exerciseDisposed | −5,000 | $0.00 | $0 | 0 | Direct | |
| Nov 9, 2022 | Common Stock | MOption exerciseDisposed | −5,000 | $0.00 | $0 | 0 | Direct | |
| Nov 9, 2022 | Common Stock | MOption exerciseDisposed | −5,000 | $0.00 | $0 | 0 | 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
The price reported is the weighted average price of multiple trades at prices ranging from $22.41 to $22.83 per share, inclusive. The reporting person will provide, upon request by the SEC staff, the Issuer or a security holder of the issuer, full information regarding the number of shares sold at each price within the reported range.
Referenced by the price of 1 transaction in Table I.