Tooth Margaret's Form 4/A amendment
AmendedTrupanion, Inc. (TRUP) · filed Feb 1, 2022
- Accession no.
- 0001371285-22-000015
- Filed
- Feb 1, 2022
- Trade date
- Nov 25-Dec 28, 2021
- Filing delay
- 68 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Dec 30, 2021
This filing lists 3 non-derivative transactions and 1 derivative transaction. Open-market sales total $108.1K. It was filed 68 days after the trade.
This amendment replaces 0001371285-21-000326 (filed Dec 30, 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 |
|---|---|
| Tooth MargaretCIK 0001657025 | Officer (Co-President) |
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 |
|---|---|---|---|---|---|---|---|---|
| Nov 25, 2021 | Common Stock | MOption exerciseAcquired | +1,219 | –F1 | – | 18,913 | Direct | |
| Nov 25, 2021 | Common Stock | SSaleDisposed | −480 | $125.23F4 | −$60,110.4 | 18,433 | Direct | |
| Dec 28, 2021 | Common Stock | SSaleDisposed | −350 | $137.00 | −$47,950 | 18,083 | 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 25, 2021 | Common Stock | MOption exerciseDisposed | −1,219 | $0.00 | $0 | 1,220 | 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
Restricted stock units convert into common stock on a one-for-one basis.
Referenced by the price of 1 transaction in Table I.
- F2
This Form 4 amends the incorrect disclosure that shares were withheld by issuer to satisfy taxes and corrects the disclosure to report that shares were sold by issuer to satisfy tax obligations.
- F3
This Form 4 discloses the shares of common stock that have been sold by the issuer to satisfy its income tax withholding and remittance obligations in connection with the vesting of the restricted stock units.
- F4
The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $125.22 to $126.70 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (4).
Referenced by the price of 1 transaction in Table I.
- F5
The exercise and sale reported were effected pursuant to a Rule 10b5-1 trading plan adopted by reporting person on May 28, 2021, in order to implement a plan of financial diversification. Accordingly, the reporting person had no discretion with regard to the timing of the transaction.
- F6
The RSU vests and will convert to common stock of the Issuer as to 1/4th of the total shares on February 25, 2019, after which 1/16th of the total shares vest quarterly, subject to continued service through each vesting date.