Beechem Joseph M's Form 4 filing
NS Wind Down Co., Inc. (NSTG) · filed Sep 3, 2021
- Accession no.
- 0001401708-21-000208
- Filed
- Sep 3, 2021
- Trade date
- Sep 1-2, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions. Open-market sales total $1.41M. 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 |
|---|---|
| Beechem Joseph MCIK 0001576195 | Officer (SVP, Research & Development) |
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 |
|---|---|---|---|---|---|---|---|---|
| Sep 1, 2021 | Common Stock | AGrant or awardAcquired | +209 | $51.97F3 | +$10,861.73 | 91,384 | Direct | |
| Sep 2, 2021 | Common Stock | SSaleDisposed | −13,000 | $60.83F4 | −$790,790 | 78,284 | Direct | |
| Sep 2, 2021 | Common Stock | SSaleDisposed | −10,114 | $61.54F5 | −$622,415.56 | 68,270 | 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.
- F3
In accordance with the ESPP, these shares were purchased based on 85% of the closing price of the issuer's common stock on September 1, 2021.
Referenced by the price of 1 transaction in Table I.
- F4
The "Amount" and "Price" reported in this Column 4 reflect the aggregate number and weighted-average price, respectively, of shares sold. These shares were sold in multiple transactions at prices ranging from $60.24 to $61.23, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein.
Referenced by the price of 1 transaction in Table I.
- F5
The "Amount" and "Price" reported in this Column 4 reflect the aggregate number and weighted-average price, respectively, of shares sold. These shares were sold in multiple transactions at prices ranging from $61.32 to $61.76, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein.
Referenced by the price of 1 transaction in Table I.