Kotaieva Anastasiia's Form 4/A amendment
AmendedT3 Defense Inc. (DFNS) · filed Dec 23, 2024
- Accession no.
- 0001213900-24-111518
- Filed
- Dec 23, 2024
- Trade date
- Nov 8-Dec 16, 2024
- Filing delay
- 45 days
- Rule 10b5-1 plan
- Not checked
- Original filed
- Dec 20, 2024
This filing lists 2 non-derivative transactions and 1 derivative transaction. Open-market purchases total $771.1K. It was filed 45 days after the trade.
This amendment replaces 0001213900-24-111167 (filed Dec 20, 2024).
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 |
|---|---|
| Kotaieva AnastasiiaCIK 0002045096 | Director, Officer (Chief Executive Officer) |
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 |
|---|---|---|---|---|---|---|---|---|
| Dec 16, 2024 | Common Stock, $0.0001 par value per share | AGrant or awardAcquired | +150,000 | $1.39 | +$208,500 | 150,000 | Direct | |
| Nov 8, 2024 | Common Stock, $0.0001 par value per share | PPurchaseAcquired | +319,952 | $2.41 | +$771,084.32 | 319,952 | 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 8, 2024 | Warrant | PPurchaseAcquired | +351,424 | $2.41 | +$846,931.84 | 351,424 | 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.
- F1
On November 8, 2024 as amended on November 14, 2024, Nukkleus Inc. entered into a Conversion Agreement with X Group Fund of Funds whereby the Company issued 319,952 shares of common stock and a Warrant to acquire 351,424 shares of common stock at an exercise price of $2.41 per share. Anastasiia Kotaieva, a director of the Company, is the owner of X Group Family of Funds Limited Partnership.
Remarks
This amendment is being filed to correct the number of shares of common stock reported as acquired in the original Form 4 filed on December 20, 2024. The correct number of shares acquired is 150,000 shares of common stock as indicated above in Table I.