Croxall Douglas B's Form 4 filing
Crown Electrokinetics Corp. (CRKN) · filed Mar 31, 2023
- Accession no.
- 0001213900-23-025464
- Filed
- Mar 31, 2023
- Trade date
- Jan 12, 2020-Sep 23, 2022
- Filing delay
- 1,174 daysLate
- Rule 10b5-1 plan
- Not checked
This filing lists 2 non-derivative transactions and 2 derivative transactions. Open-market sales total $900.0K. It was filed 1174 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 |
|---|---|
| Croxall Douglas BCIK 0001331155 | Director, Officer (Chief Executive Officer), 10% Owner |
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 |
|---|---|---|---|---|---|---|---|---|
| Jan 12, 2020 | Common Stock | DReturned to the companyDisposed | −238,095 | $0.00 | $0 | 2,829,448 | Indirect | |
| Nov 10, 2021 | Common Stock | SSaleDisposed | −1,000,000 | $0.90 | −$900,000 | 1,829,448 | Indirect |
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 |
|---|---|---|---|---|---|---|---|---|
| Sep 23, 2022 | Common Stock | AGrant or awardAcquired | +150,000 | $0.00 | $0 | 150,000 | Indirect | |
| Sep 23, 2022 | Common Stock | AGrant or awardAcquired | +150,000 | $0.00 | $0 | 3,365,672 | Indirect |
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.
No transaction price on this filing refers to a footnote.