Fraher Kathleen's Form 4 filing
Silvergate Capital Corp (SICP) · filed Aug 4, 2021
- Accession no.
- 0001312109-21-000177
- Filed
- Aug 4, 2021
- Trade date
- Aug 2, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 5 non-derivative transactions and 1 derivative transaction. Open-market sales total $1.43M. It was filed 2 days after the trade.
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 |
|---|---|
| Fraher KathleenCIK 0001758346 | Officer (Chief Operating 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 |
|---|---|---|---|---|---|---|---|---|
| Aug 2, 2021 | Class A Common Stock | SSaleDisposed | −3,109 | $103.75F1 | −$322,558.75 | 16,975 | Direct | |
| Aug 2, 2021 | Class A Common Stock | SSaleDisposed | −1,891 | $104.40F2 | −$197,420.4 | 15,084 | Direct | |
| Aug 2, 2021 | Class A Common Stock | MOption exerciseAcquired | +8,750 | $12.00 | +$105,000 | 23,834 | Direct | |
| Aug 2, 2021 | Class A Common Stock | SSaleDisposed | −6,318 | $103.73F3 | −$655,366.14 | 17,516 | Direct | |
| Aug 2, 2021 | Class A Common Stock | SSaleDisposed | −2,432 | $104.41F4 | −$253,925.12 | 15,084 | 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 |
|---|---|---|---|---|---|---|---|---|
| Aug 2, 2021 | Class A Common Stock | MOption exerciseDisposed | −8,750 | $0.00 | $0 | 0 | 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
This transaction was executed in multiple trades at prices ranging from $103.18 to $104.17. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
Referenced by the price of 1 transaction in Table I.
- F2
This transaction was executed in multiple trades at prices ranging from $104.18 to $104.90. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
Referenced by the price of 1 transaction in Table I.
- F3
This transaction was executed in multiple trades at prices ranging from $103.17 to $104.12. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
Referenced by the price of 1 transaction in Table I.
- F4
This transaction was executed in multiple trades at prices ranging from $104.18 to $104.90. The price reported above reflects the weighted average sale [or purchase] price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
Referenced by the price of 1 transaction in Table I.