Finn Brian D's Form 4/A amendment
AmendedPalladyne AI Corp. (PDYN) · filed Dec 18, 2023
- Accession no.
- 0001209191-23-059003
- Filed
- Dec 18, 2023
- Trade date
- Dec 12-13, 2023
- Filing delay
- 6 days
- Rule 10b5-1 plan
- Not checked
- Original filed
- Dec 14, 2023
This filing lists 2 non-derivative transactions. Open-market purchases total $30.5K. It was filed 6 days after the trade.
This amendment replaces 0001209191-23-058681 (filed Dec 14, 2023).
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 |
|---|---|
| Finn Brian DCIK 0001124195 | Director |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
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 "Amount" and "Price" reported in this Column 4 reflect the aggregate number and weighted-average price, respectively, of shares purchased. These shares were purchased in multiple transactions at prices ranging from $0.5827 to $0.64, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth herein.
Referenced by the price of 1 transaction in Table I.
- F2
This Form 4/A amends the Form 4 originally filed on December 14, 2023 solely to correct the amount reported in Table I, Column 5. Due to an administrative error, the amount reported on the original Form 4 was not adjusted to reflect the issuer's 1-for-6 reverse stock split completed on July 5, 2023 ("Reverse Stock Split"). The reported number of shares has been adjusted to reflect the impact of the Reverse Stock Split.
- F3
Securities are held by MI-CM LLC ("MI-CM"). Mr. Finn is the administrator of MI-CM. As administrator, Mr. Finn has sole voting and dispositive power over the shares of issuer common stock held by MI-CM. Mr. Finn disclaims beneficial ownership of these shares except to the extent of any pecuniary interest therein.
- F4
The "Amount" and "Price" reported in this Column 4 reflect the aggregate number and weighted-average price, respectively, of shares purchased. These shares were purchased in multiple transactions at prices ranging from $0.5938 to $0.62, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth herein.
Referenced by the price of 1 transaction in Table I.
- F5
Securities are held by MI-MJ LLC ("MI-MJ"). Mr. Finn is the administrator of MI-MJ. As administrator, Mr. Finn has sole voting and dispositive power over the shares of issuer common stock held by MI-MJ. Mr. Finn disclaims beneficial ownership of these shares except to the extent of any pecuniary interest therein.
- F6
Securities are held by Marstar Investments LLC ("Marstar"). Mr. Finn is the administrator of Marstar and has sole voting and dispositive power over the shares of issuer common stock held by Marstar. Mr. Finn disclaims beneficial ownership of these shares except to the extent of any pecuniary interest therein.