Cervantes Alfonso J. JR's Form 4 filing
Smart for Life, Inc. (SMFL) · filed Jun 12, 2023
- Accession no.
- 0001213900-23-048302
- Filed
- Jun 12, 2023
- Trade date
- May 26, 2023
- Filing delay
- 17 daysLate
- Rule 10b5-1 plan
- Not checked
This filing lists 1 derivative transaction. It was filed 17 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 |
|---|---|
| Cervantes Alfonso J. JRCIK 0001907975 | Director, Officer (Executive Chairman) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
This filing has no transactions of this kind.
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 |
|---|---|---|---|---|---|---|---|---|
| May 26, 2023 | Series B Preferred Stock | PPurchaseAcquired | +3,711 | $223.00F2 | +$827,553 | 3,711 | 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.
- F2
The reporting person received the shares of Series B Preferred Stock in exchange for the cancellation of deferred compensation owed to the reporting person in the amount of $827,484, or for approximately $223 per share.
Referenced by the price of 1 transaction in Table II.