Tirman Jeffrey's Form 4/A amendment
AmendedCollective Audience, Inc. (CAUD) · filed Dec 13, 2023
- Accession no.
- 0001213900-23-095309
- Filed
- Dec 13, 2023
- Trade date
- Aug 12, 2021-Nov 2, 2023
- Filing delay
- 853 days
- Rule 10b5-1 plan
- Not checked
- Original filed
- Sep 9, 2021
This filing lists 5 non-derivative transactions and 2 derivative transactions. Open-market purchases total $2.95M. Open-market sales total $1.89M. It was filed 853 days after the trade.
This amendment replaces 0001213900-21-047114 (filed Sep 9, 2021).
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 |
|---|---|
| Tirman JeffreyCIK 0001876692 | 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 |
|---|---|---|---|---|---|---|---|---|
| Aug 12, 2021 | Common Stock | PPurchaseAcquired | +276,250 | $10.00F1 | +$2,762,500 | 1,713,750 | Indirect | Duplicate filing |
| Aug 23, 2021 | Common Stock | JOtherDisposed | −4,020 | $0.00 | $0 | 1,709,730 | Indirect | Duplicate filing |
| Aug 23, 2021 | Common Stock | PPurchaseAcquired | +18,348 | $10.00F1 | +$183,480 | 1,728,078 | Indirect | Duplicate filing |
| Apr 11, 2023 | Common Stock | SSaleDisposed | −75,000 | $10.78F5 | −$808,500 | 1,653,078 | Indirect | Duplicate filing |
| Nov 2, 2023 | Common Stock | SSaleDisposed | −40,000 | $26.96F5 | −$1,078,400 | 1,613,078 | Indirect | Duplicate filing |
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.
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
Reflects the purchase price for Units (the "Private Placement Units") consisting of one share of Common Stock and one warrant to purchase one share of Common Stock (the "Warrant") at a purchase price of $10.00 per Private Placement Unit pursuant to the Private Placement Unites Purchase Agreement dated August 10, 2021 entered into between the Issuer and the Reporting Person. No portion of the purchase price for the Private Placement Units was allocated to the Warrants.
Referenced by the price of 2 transactions in Table I and 2 transactions in Table II.
- F2
Abri Ventures I, LLC ("Abri Ventures") is the record holder of the securities reported herein. Jeffrey Tirman is the authorized person of Abri Ventures and may be deemed to have beneficial ownership of the securities held of record by Abri Ventures. Such person disclaims any such beneficial ownership except to the extent of his pecuniary interest therein.
- F3
As contemplated in connection with the initial public offering of the Issuer, 4,020 shares of Common Stock of the Issuer were returned by the reporting person to the Issuer for no consideration and cancelled because the underwriters' over-allotment option was not exercised in full.
- F4
Amended to correct Amount of Securities Beneficially Owned on August 23, 2021 included in column 5.
- F5
Amounts reflect the imputed price based on the Nasdaq Official Closing Price of the Issuer's Common Stock as reported by Nasdaq on the trading day prior to the date reported as the transaction did not involve a cash payment.
Referenced by the price of 2 transactions in Table I.