Chung Bernard's Form 4 filing
Velo3D, Inc. (VELO) · filed Aug 24, 2023
- Accession no.
- 0001209191-23-047242
- Filed
- Aug 24, 2023
- Trade date
- Aug 8-21, 2023
- Filing delay
- 16 daysLate
- Rule 10b5-1 plan
- Not checked
This filing lists 5 non-derivative transactions and 5 derivative transactions. Open-market sales total $9.13K. It was filed 16 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 |
|---|---|
| Chung BernardCIK 0001878916 | Officer (Vice President, Finance) |
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 | +1,662 | –F1 | – | 164,428 | Direct | |
| Aug 15, 2023 | Common Stock | MOption exerciseAcquired | +5,841 | –F1 | – | 170,269 | Direct | |
| Aug 15, 2023 | Common Stock | MOption exerciseAcquired | +5,841 | –F1 | – | 176,110 | Direct | |
| Aug 15, 2023 | Common Stock | MOption exerciseAcquired | +3,804 | –F1 | – | 179,914 | Direct | |
| Aug 21, 2023 | Common Stock | SSaleDisposed | −6,127 | $1.49 | −$9,129.23 | 173,787 | 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 8, 2023 | Common Stock | AGrant or awardAcquired | +15,217 | $0.00 | $0 | 15,217 | Direct | |
| Aug 15, 2023 | Common Stock | MOption exerciseDisposed | −1,662 | $0.00 | $0 | 14,957 | Direct | |
| Aug 15, 2023 | Common Stock | MOption exerciseDisposed | −5,841 | $0.00 | $0 | 11,682 | Direct | |
| Aug 15, 2023 | Common Stock | MOption exerciseDisposed | −5,841 | $0.00 | $0 | 11,682 | Direct | |
| Aug 15, 2023 | Common Stock | MOption exerciseDisposed | −3,804 | $0.00 | $0 | 11,413 | 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 4 transactions in Table I.