Welihinda Navam's Form 4/A amendment
AmendedHashiCorp, Inc. (HCP) · filed Dec 22, 2022
- Accession no.
- 0001209191-22-062480
- Filed
- Dec 22, 2022
- Trade date
- Sep 22, 2022
- Filing delay
- 91 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Sep 22, 2022
This filing lists 3 non-derivative transactions. It carries over 8 transactions from the original filing that it did not restate. Open-market sales total $312.1K. It was filed 91 days after the trade.
This amendment restates part of 0000899243-22-031730 (filed Sep 22, 2022). The transactions it did not restate still count and are listed below.
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 |
|---|---|
| Welihinda NavamCIK 0001894706 | Officer (Chief Financial Officer) |
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 |
|---|---|---|---|---|---|---|---|---|
| Sep 22, 2022 | Class A Common Stock | SSaleDisposed | −4,708 | $27.19F2 | −$128,010.52 | 14,229 | Direct | |
| Sep 22, 2022 | Class A Common Stock | SSaleDisposed | −700 | $28.04F3 | −$19,628 | 13,529 | Direct | |
| Sep 22, 2022 | Class A Common Stock | SSaleDisposed | −200 | $28.96F4 | −$5,792 | 13,329 | Direct |
Carried over from the original filing
This amendment restates only part of the original filing. The original's other transactions still stand, and the trade tables on Livermore count them under this amendment.
From 0000899243-22-031730 (filed Sep 22, 2022).
Non-derivative securities (Table I)
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Sep 20, 2022 | Class A Common Stock | MOption exerciseAcquired | +3,360 | –F1 | – | 16,689 | Direct | |
| Sep 21, 2022 | Class A Common Stock | CConversionAcquired | +7,569 | –F2 | – | 24,258 | Direct | |
| Sep 21, 2022 | Class A Common Stock | SSaleDisposed | −3,285 | $29.53F4 | −$97,006.05 | 20,973 | Direct | |
| Sep 21, 2022 | Class A Common Stock | SSaleDisposed | −2,036 | $30.28F5 | −$61,650.08 | 18,937 | Direct |
Derivative securities (Table II)
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Sep 20, 2022 | Class A Common Stock | MOption exerciseDisposed | −3,360 | $0.00 | $0 | 47,044 | Direct | |
| Sep 20, 2022 | Class B Common Stock | MOption exerciseDisposed | −7,569 | $0.00 | $0 | 68,119 | Direct | |
| Sep 20, 2022 | Class A Common Stock | MOption exerciseAcquired | +7,569 | $0.00 | $0 | 196,426 | Direct | |
| Sep 21, 2022 | Class A Common Stock | CConversionDisposed | −7,569 | $0.00 | $0 | 188,857 | Direct |
Footnotes on the original
The footnotes that the prices of these transactions refer to on the original filing.
- F1
Each restricted stock unit, or RSU, represents a contingent right to receive one share of Issuer Class A Common Stock.
Referenced by the price of 1 transaction in Table I.
- F2
Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and has no expiration date.
Referenced by the price of 1 transaction in Table I.
- F4
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $29.00 to $29.79, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (4) through (8) and (9) to this Form 4.
Referenced by the price of 1 transaction in Table I.
- F5
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.09 to $30.43, inclusive
Referenced by the price of 1 transaction in Table I.
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 sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on January 21, 2022.
- F2
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.81 to $27.76, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (2) through (4) to this Form 4.
Referenced by the price of 1 transaction in Table I.
- F3
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.83 to $28.35, inclusive.
Referenced by the price of 1 transaction in Table I.
- F4
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.93 to $28.98, inclusive.
Referenced by the price of 1 transaction in Table I.
Remarks
The amendment on Form 4 is filed to revise the amount of Class A shares sold, the sale price per share and the securities owned following the reported transactions. These adjustments to the balance in column 5 were not reflected in subsequent reports filed on October 5, 2022 and November 3, 2022.