Altbach Ronald S.'s Form 4/A amendment
AmendedSmart for Life, Inc. (SMFL) · filed Jun 29, 2022
- Accession no.
- 0001213900-22-035720
- Filed
- Jun 29, 2022, 10:35 AM ET
- Trade date
- Jun 9, 2022
- Filing delay
- 20 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Jun 13, 2022
This filing lists 2 non-derivative transactions and 1 derivative transaction. Open-market sales total $2.00K. It was filed 20 days after the trade.
This amendment replaces 0001213900-22-032539 (filed Jun 13, 2022).
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 |
|---|---|
| Altbach Ronald S.CIK 0001908583 | Director |
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 |
|---|---|---|---|---|---|---|---|---|
| Jun 9, 2022 | Common Stock | MOption exerciseAcquired | +200,000 | $0.01 | +$2,000 | 250,000 | Direct | |
| Jun 9, 2022 | Common Stock | SSaleAcquired | +4,505 | $0.444 | +$2,000.22 | 245,495 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jun 9, 2022 | Common Stock | MOption exerciseDisposed | −200,000 | $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.
- F1
On June 9, 2022, the Reporting Person exercised a stock option to purchase 200,000 shares of common stock of the Issuer for $0.01 per share. The Reporting Person paid the exercise price on a cashless basis, resulting in the Issuer's withholding of 4,505 of the option shares to pay the exercise price and issuing to the Reporting Person the remaining 195,495 shares.
- F2
On June 13, 2022, the Reporting Person filed a Form 4 which incorrectly stated that the number of shares withheld was 888. This amendment has been filed by the Reporting Person to report the correct number of shares.
- F3
The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.