McCombe William D.'s Form 4 filing
Velo3D, Inc. (VELO) · filed Aug 23, 2023
- Accession no.
- 0001209191-23-047145
- Filed
- Aug 23, 2023
- Trade date
- Aug 15-21, 2023
- Filing delay
- 8 daysLate
- Rule 10b5-1 plan
- Not checked
This filing lists 3 non-derivative transactions and 2 derivative transactions. Open-market sales total $16.7K. It was filed 8 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 |
|---|---|
| McCombe William D.CIK 0001878824 | Director, 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 |
|---|---|---|---|---|---|---|---|---|
| Aug 15, 2023 | Common Stock | MOption exerciseAcquired | +9,935 | –F1 | – | 160,404 | Direct | |
| Aug 15, 2023 | Common Stock | MOption exerciseAcquired | +20,795 | –F1 | – | 181,199 | Direct | |
| Aug 21, 2023 | Common Stock | SSaleDisposed | −11,201 | $1.49 | −$16,689.49 | 169,998 | 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 |
|---|---|---|---|---|---|---|---|---|
| Aug 15, 2023 | Common Stock | MOption exerciseDisposed | −9,935 | $0.00 | $0 | 89,417 | Direct | |
| Aug 15, 2023 | Common Stock | MOption exerciseDisposed | −20,795 | $0.00 | $0 | 41,588 | 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
Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock upon settlement for no consideration.
Referenced by the price of 2 transactions in Table I.