Malloy Kirk's Form 4/A amendment
AmendedNS Wind Down Co., Inc. (NSTG) · filed Oct 21, 2021
- Accession no.
- 0001401708-21-000215
- Filed
- Oct 21, 2021
- Trade date
- Aug 16, 2021
- Filing delay
- 66 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Aug 18, 2021
This filing lists 1 non-derivative transaction. It carries over 2 transactions from the original filing that it did not restate. Open-market sales total $139.6K. It was filed 66 days after the trade.
This amendment restates part of 0001401708-21-000199 (filed Aug 18, 2021). 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 |
|---|---|
| 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 |
|---|---|---|---|---|---|---|---|---|
| Aug 16, 2021 | Common Stock | SSaleDisposed | −2,500 | $55.82 | −$139,550 | 5,510 | 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 0001401708-21-000199 (filed Aug 18, 2021).
Non-derivative securities (Table I)
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 16, 2021 | Common Stock | MOption exerciseAcquired | +1,500 | $26.45 | +$39,675 | 8,010 | Direct |
Derivative securities (Table II)
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 16, 2021 | Common Stock | MOption exerciseDisposed | −1,500 | $26.45 | −$39,675 | 2,357 | 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.
- F1
The sales reported by Dr. Malloy were effected pursuant to a Rule 10b5-1 trading plan adopted on March 11, 2021.
- F2
The Form 4 filed on August 18, 2021 inadvertently misstated the number of securities disposed of. The number reported in Column 4 of this Form 4/A represents the correct number of securities disposed of on August 16, 2021 and the number reported in column 5 of this Form 4/A represents the amount of securities beneficially owned by the Reporting Person as of August 16, 2021.