Malloy Kirk's Form 4 filing
NS Wind Down Co., Inc. (NSTG) · filed Sep 15, 2021
- Accession no.
- 0001401708-21-000212
- Filed
- Sep 15, 2021
- Trade date
- Sep 13, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions and 2 derivative transactions. Open-market sales total $178.1K. It was filed 2 days after the trade.
This filing was later replaced by the amendment 0001401708-21-000216 (Oct 21, 2021). Trade tables on this site use the amended version.
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 |
|---|---|
| Malloy KirkCIK 0001326794 | Director |
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 13, 2021 | Common Stock | MOption exerciseAcquired | +1,500 | $16.36 | +$24,540 | 8,010 | Direct | |
| Sep 13, 2021 | Common Stock | MOption exerciseAcquired | +1,500 | $22.30 | +$33,450 | 9,510 | Direct | |
| Sep 13, 2021 | Common Stock | SSaleDisposed | −3,000 | $59.37 | −$178,110 | 6,510 | 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 |
|---|---|---|---|---|---|---|---|---|
| Sep 13, 2021 | Common Stock | MOption exerciseDisposed | −1,500 | $16.36 | −$24,540 | 2,435 | Direct | |
| Sep 13, 2021 | Common Stock | MOption exerciseDisposed | −1,500 | $22.30 | −$33,450 | 7,111 | 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.