Mitchell Steven R's Form 4 filing
StepStone Group Inc. (STEP) · filed Nov 19, 2021
- Accession no.
- 0001394221-21-000002
- Filed
- Nov 19, 2021, 5:43 PM ET
- Trade date
- Nov 18, 2021
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions and 1 derivative transaction. Open-market sales total $69.0M. It was filed 1 day 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 |
|---|---|
| Mitchell Steven RCIK 0001610279 | Director, 10% Owner |
| Kaiser George BCIK 0001163432 | 10% Owner |
| ARGO Holdings, LLCCIK 0001394221 | 10% Owner |
| ARG Private Equity, LLCCIK 0001585937 | 10% Owner |
| Waldo RobertCIK 0001728668 | 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 18, 2021 | Class B Common Stock | DReturned to the companyDisposed | −1,330,336 | $0.001 | −$1,330.34 | 3,662,708 | Direct | |
| Nov 18, 2021 | Class A Common Stock | CConversionAcquired | +1,330,336 | –F4 | – | 1,382,836 | Direct | |
| Nov 18, 2021 | Class A Common Stock | SSaleDisposed | −1,330,336 | $51.83 | −$68,951,314.88 | 52,500 | 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 18, 2021 | Class A Common Stock | CConversionDisposed | −1,330,336 | –F4 | – | 3,662,708 | 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.
- F4
The Class B Units are exchangeable, on a one-for-one basis, for shares of Class A Common Stock of the Issuer. Upon exchange of a Class B Unit, the corresponding share of Class B Common Stock of the Issuer will be automatically redeemed and cancelled.
Referenced by the price of 1 transaction in Table I and 1 transaction in Table II.