Kapostasy Daniel's Form 4 filing
Energy Fuels Inc (UUUU) · filed Jan 5, 2024
- Accession no.
- 0001385849-24-000002
- Filed
- Jan 5, 2024
- Trade date
- Jan 3, 2024
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not checked
This filing lists 4 non-derivative transactions and 2 derivative transactions. Open-market sales total $41.8K. 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 |
|---|---|
| Kapostasy DanielCIK 0001989355 | Officer (VP Technical Services) |
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 |
|---|---|---|---|---|---|---|---|---|
| Jan 3, 2024 | Common Shares | MOption exerciseAcquired | +9,489 | $6.92 | +$65,663.88 | 25,588 | Direct | |
| Jan 3, 2024 | Common Shares | FTax withholdingDisposed | −4,431 | $6.92 | −$30,662.52 | 21,157 | Direct | |
| Jan 3, 2024 | Common Shares | MOption exerciseAcquired | +9,600 | $6.85 | +$65,760 | 30,757 | Direct | |
| Jan 3, 2024 | Common Shares | SSaleDisposed | −6,100 | $6.85 | −$41,785 | 24,657 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jan 3, 2024 | Common Shares | MOption exerciseDisposed | −9,489 | $0.00 | $0 | 33,783 | Direct | |
| Jan 3, 2024 | Common Shares | MOption exerciseDisposed | −9,600 | $0.00 | $0 | 29,243 | 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.
No transaction price on this filing refers to a footnote.
Remarks
1. The first conversion and tax withholding reported in this Form 4 constitute an acquisition of 5,058 Common Shares of Issuer, after applicable tax withholdings, upon an exercise of SARs using the fair market value of $6.92/Common Share. The Common Shares withheld for taxes were a deemed issuance by the Issuer and a deemed disposition by the Reporting Person, with no Common Shares actually issued to or sold by the Reporting Person in connection with the tax withholding. 2. Instantaneously with the Reporting Person's exercise of 9,600 non-qualified stock options (right to buy), which resulted in an equivalent number of Common Shares, the Reporting Person completed a sell-to-cover of 6,100 Common Shares to cover the cost of exercise and applicable tax withholdings, resulting in a total of 3,500 Common Shares retained by the Reporting Person.