Seraphin Luc's Form 4 filing
Rambus Inc (RMBS) · filed May 16, 2023
- Accession no.
- 0001209191-23-029904
- Filed
- May 16, 2023
- Trade date
- May 15, 2023
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not checked
This filing lists 5 non-derivative transactions and 2 derivative transactions. Open-market sales total $225.0K. It was filed 1 day 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 |
|---|---|
| Seraphin LucCIK 0001341984 | Director, Officer (President 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 |
|---|---|---|---|---|---|---|---|---|
| May 15, 2023 | Common Stock | MOption exerciseAcquired | +4,172 | $12.84 | +$53,568.48 | 259,586 | Direct | |
| May 15, 2023 | Common Stock | SSaleDisposed | −4,172 | $49.39F2 | −$206,055.08 | 255,414 | Direct | |
| May 15, 2023 | Common Stock | MOption exerciseAcquired | +302 | $12.80 | +$3,865.6 | 255,716 | Direct | |
| May 15, 2023 | Common Stock | SSaleDisposed | −302 | $49.39F2 | −$14,915.78 | 255,414 | Direct | |
| May 15, 2023 | Common Stock | SSaleDisposed | −82 | $49.33F3 | −$4,045.06 | 255,332 | 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 |
|---|---|---|---|---|---|---|---|---|
| May 15, 2023 | Common Stock | MOption exerciseDisposed | −4,172 | $0.00 | $0 | 0 | Direct | |
| May 15, 2023 | Common Stock | MOption exerciseDisposed | −302 | $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.
- F2
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $49.187 to $49.60, 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.
Referenced by the price of 2 transactions 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 $49.28 to $49.60, 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.
Referenced by the price of 1 transaction in Table I.