Pratt Annie's Form 4 filing
Nxu, Inc. (NXU) · filed Aug 18, 2023
- Accession no.
- 0001214659-23-011520
- Filed
- Aug 18, 2023, 6:55 PM ET
- Trade date
- Jun 15-Aug 15, 2023
- Filing delay
- 64 daysLate
- Rule 10b5-1 plan
- Not checked
This filing lists 3 non-derivative transactions and 7 derivative transactions. It was filed 64 days after the trade, past the 2-business-day deadline.
This filing was later replaced by the amendment 0001213900-25-040784 (May 7, 2025). Trade tables on this site use the amended version.
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 |
|---|---|
| Pratt AnnieCIK 0001940460 | Director, Officer (President), 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 |
|---|---|---|---|---|---|---|---|---|
| Jun 30, 2023 | Class A Common Stock | MOption exerciseAcquired | +174,663 | –F1 | – | 9,839,854 | Direct | |
| Jul 30, 2023 | Class A Common Stock | MOption exerciseAcquired | +69,444 | –F1 | – | 9,909,298 | Direct | |
| Aug 9, 2023 | Class A Common Stock | FTax withholdingDisposed | −187,602 | $0.27F2 | −$50,652.54 | 9,721,696 | 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 15, 2023 | Class A Common Stock | AGrant or awardAcquired | +113,636 | $0.00 | $0 | 113,636 | Direct | |
| Jun 15, 2023 | Class A Common Stock | AGrant or awardAcquired | +61,027 | $0.00 | $0 | 61,027 | Direct | |
| Jun 30, 2023 | Class A Common Stock | MOption exerciseDisposed | −113,636 | $0.00 | $0 | 0 | Direct | |
| Jun 30, 2023 | Class A Common Stock | MOption exerciseDisposed | −61,027 | $0.00 | $0 | 0 | Direct | |
| Jul 15, 2023 | Class A Common Stock | AGrant or awardAcquired | +69,444 | $0.00 | $0 | 69,444 | Direct | |
| Jul 30, 2023 | Class A Common Stock | MOption exerciseDisposed | −69,444 | $0.00 | $0 | 0 | Direct | |
| Aug 15, 2023 | Class A Common Stock | AGrant or awardAcquired | +69,444 | $0.00 | $0 | 69,444 | 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
Each restricted stock unit represents a contingent right to receive one share of Class A common stock of Nxu, Inc.
Referenced by the price of 2 transactions in Table I.
- F2
The price in Column 4 is a weighted average price. The actual sales price for these transactions ranged from $0.20 to $0.30. The Reporting Person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.
Referenced by the price of 1 transaction in Table I.