Nielsen Christopher John's Form 4/A amendment
AmendedRedfin Corp (RDFN) · filed Feb 22, 2022
- Accession no.
- 0001382821-22-000041
- Filed
- Feb 22, 2022
- Trade date
- Feb 15, 2022
- Filing delay
- 7 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Feb 17, 2022
This filing lists 1 derivative transaction. It carries over 2 transactions from the original filing that it did not restate. Open-market sales total $139.4K. It was filed 7 days after the trade.
This amendment restates part of 0001382821-22-000037 (filed Feb 17, 2022). The transactions it did not restate still count and are listed below.
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 |
|---|---|
| Nielsen Christopher JohnCIK 0001712497 | Officer (Chief Financial Officer) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
This filing has no transactions of this kind.
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 |
|---|---|---|---|---|---|---|---|---|
| Feb 15, 2022 | Common Stock | MOption exerciseDisposed | −4,500 | $0.00 | $0 | 508,099 | Direct |
Carried over from the original filing
This amendment restates only part of the original filing. The original's other transactions still stand, and the trade tables on Livermore count them under this amendment.
From 0001382821-22-000037 (filed Feb 17, 2022).
Non-derivative securities (Table I)
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Feb 15, 2022 | Common Stock | MOption exerciseAcquired | +4,500 | $2.25 | +$10,125 | 33,765 | Direct | |
| Feb 15, 2022 | Common Stock | SSaleDisposed | −4,500 | $30.97F2 | −$139,365 | 29,265 | Direct |
Footnotes on the original
The footnotes that the prices of these transactions refer to on the original filing.
- F2
The reporting person executed the transaction in multiple trades at prices ranging from $30.55 to $31.42. The reported price reflects the weighted average price of all trades. The reporting person will provide to the SEC staff, the issuer, or any security holder of the issuer, upon request, full information regarding the number of shares traded at each separate price.
Referenced by the price of 1 transaction in Table I.
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
The reporting person effected the transaction pursuant to a Rule 10b5-1 trading plan.
- F2
The reporting person is filing this amendment to report a disposition of the stock options, rather than an acquisition as reported in the originally filed Form 4. The number of stock options beneficially owned following the reported transaction is also being corrected as part of this amendment. The reporting person's Form 4 filed on January 20, 2022 also incorrectly reported an acquisition instead of a disposition and, accordingly, mis-reported the number of stock options beneficially owned following the transaction.
- F3
The stock option is fully exercisable.