Le Phong's Form 4 filing
Strategy Inc (MSTR) · filed Nov 14, 2023
- Accession no.
- 0001209191-23-055158
- Filed
- Nov 14, 2023
- Trade date
- Nov 9-13, 2023
- Filing delay
- 5 days
- Rule 10b5-1 plan
- Not checked
This filing lists 9 non-derivative transactions and 2 derivative transactions. Open-market sales total $5.07M. 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 |
|---|---|
| Le PhongCIK 0001651669 | Director, Officer (President & 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 9, 2023 | Class A Common Stock | MOption exerciseAcquired | +10,000 | $151.60 | +$1,516,000 | 10,458 | Direct | |
| Nov 9, 2023 | Class A Common Stock | SSaleDisposed | −1,090 | $504.24F1 | −$549,621.6 | 9,368 | Direct | |
| Nov 9, 2023 | Class A Common Stock | SSaleDisposed | −1,310 | $505.06F2 | −$661,628.6 | 8,058 | Direct | |
| Nov 9, 2023 | Class A Common Stock | SSaleDisposed | −2,241 | $506.18F3 | −$1,134,349.38 | 5,817 | Direct | |
| Nov 9, 2023 | Class A Common Stock | SSaleDisposed | −1,659 | $507.38F4 | −$841,743.42 | 4,158 | Direct | |
| Nov 9, 2023 | Class A Common Stock | SSaleDisposed | −1,800 | $508.47F5 | −$915,246 | 2,358 | Direct | |
| Nov 9, 2023 | Class A Common Stock | SSaleDisposed | −1,900 | $510.18F6 | −$969,342 | 458 | Direct | |
| Nov 13, 2023 | Class A Common Stock | MOption exerciseAcquired | +250 | –F7 | – | 708 | Direct | |
| Nov 13, 2023 | Class A Common Stock | FTax withholdingDisposed | −113 | $504.88 | −$57,051.44 | 595 | 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, 2023 | Class A Common Stock | MOption exerciseDisposed | −10,000 | $0.00 | $0 | 65,000 | Direct | |
| Nov 13, 2023 | Class A Common Stock | MOption exerciseDisposed | −250 | $0.00 | $0 | 250 | 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 reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $503.64 to $504.55, inclusive. The reporting person undertakes to provide to MicroStrategy Incorporated, any security holder of MicroStrategy Incorporated, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F2
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $504.69 to $505.52, inclusive. The reporting person undertakes to provide to MicroStrategy Incorporated, any security holder of MicroStrategy Incorporated, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the range set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F3
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $505.74 to $506.72, inclusive. The reporting person undertakes to provide to MicroStrategy Incorporated, any security holder of MicroStrategy Incorporated, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the ranges set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F4
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $506.74 to $507.61, inclusive. The reporting person undertakes to provide to MicroStrategy Incorporated, any security holder of MicroStrategy Incorporated, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the ranges set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F5
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $508.02 to $509.00, inclusive. The reporting person undertakes to provide to MicroStrategy Incorporated, any security holder of MicroStrategy Incorporated, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the ranges set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F6
The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $509.73 to $510.71, inclusive. The reporting person undertakes to provide to MicroStrategy Incorporated, any security holder of MicroStrategy Incorporated, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the ranges set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F7
Each restricted stock unit represents a contingent right to receive one share of MicroStrategy class A common stock.
Referenced by the price of 1 transaction in Table I.